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					                  Ontario

Electronic Business Transactions
  (EBT) Standards Document
              for Retail Settlement

in the Electric Retail Open Access Industry



                    December 21, 2001

  Prepared by: The Ontario EBT Clearinghouse Sub Team

                      Version 2.1
                               Ontario EBT Standards Document



                                   Table of Contents
                                                                            Page
Change Log Sheet                                                             3
1. Introduction                                                              4
   1.1   The Ontario EBT Clearinghouse Sub Team Background                   5
   1.2   The Role of the Hub                                                 6
   1.3   Technology Introduction                                             7
   1.4   Glossary of Terms Used in This Document                             8
2. Summary                                                                   12
3. Technology Overview                                                       14
4. Business Relationships                                                    15
5. Electronic Business Transactions                                          18
   5.1   Service Transaction Requests                                        22
   5.2   Meter Data Transactions                                             52
   5.3   Invoice Transactions                                                59
   5.4   Payment Advice                                                      78
   5.5   Application Advice                                                  84
   5.6   Status Advice                                                       86
   5.7   Functional Acknowledgement                                          87
6. Trading Partner Training                                                  90
7. Trading Partner Testing                                                   91




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APPENDICES:
A. Ontario EBT Transaction Sets Data Dictionaries
B. References
C. Implementation Guides
D. Reason and Status Codes List
E. Test Plans and Transactions (pending, later issue of document)
F. Working Groups Issues Lists
G. Technology Implementation Considerations
H. Certification Requirements for Ontario EBT Clearinghouse
    (pending, later issue of document))
I. Certification Requirements for HUB Trading Partners
   (pending, later issue of document)
J. Sample XML Files along with Corresponding Schemas
K. EBTStdsDocument Addendum 1 – Feb. 21st 2001
L. EBTStdsDocument Addendum 2 – Aug. 3rd 2001
M. EBTStdsDocument Addendum 3 – Dec. 21st 2001




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               Ontario EBT Standards Change Log

Version 2.1


Revision Date     Version     Revised Section and Reason:
April 20, 2000    1.0         Initial Draft Version for comment

May 25, 2000      1.1         Final Draft Version for Comment

May 25, 2000      1.1         Supplement to Section 5.1 for comment

August 3, 2001    2.0         Re-release of May 25th version with the
                              Addendums included as appendices
December 21,      2.1         Re-release of May 25th version with Addendum #3
2001




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1. Introduction

As part of the strategy to encourage participation in the open marketplace in Ontario, the
Ontario Energy Board (OEB) has mandated in the Retail Settlement Code (RSC), dated
February 28, 2000, the use of an Electronic Business Transaction (EBT) Clearinghouse.
Transactions such as enrollments, requests for meter data, billing data, and payment
history will be processed electronically via the Ontario EBT Clearinghouse (Hub). The
implementation of a Hub will expedite transactions between the various market
participants once the market opens in November 2000.




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1.1 Ontario Electronic Business Transaction (EBT)
    Clearinghouse Sub Team Background

To assist in expediting the use of EBT in Ontario, Toronto Hydro and Hydro One
Networks Inc. formed a consortium which worked closely with the OEB for the purpose
of developing detailed business processes and defining the electronic transactions
necessary to support retail choice. An Advisory Committee was formed, consisting of a
consortium of market players – Brantford Hydro, Direct Energy, Enlogix, Hydro
Mississauga, Milton Hydro, Hydro One Networks Inc., Ottawa Hydro, Toronto Hydro,
Union Gas, and Utilipro. An EBT Sub Team was then formed to establish the standards
for the business rules, transaction sets, and protocols to be used in Ontario. The EBT Sub
Team consisted of staff from some of the above companies, as well external expertise.
The external team members consisted of ExtenSys, Excelergy, Systrends, and
Ernst&Young. Their vast knowledge of deregulation and prior EBT experience was
drawn upon. The EBT Advisory Committee reviewed the progress of the EBT Sub Team
approximately every two weeks and provided feedback on progress to date. Both the
Advisory Committee and the OEB received daily updates on project progress and assisted
in clarifying the Code and in closing issues.

The EBT Sub Team formed five Working Groups. This allowed them to focus on each
of the detailed transaction sets and to build the required process flows in order to adhere
to what was mandated in the OEB RSC. These teams consisted of sub teams on:
Infrastructure, Invoices, Meter Data, Remittance and Application Advice, and Service
Transaction Requests (STRs). The focus of the Working Groups was to define the EBT
standards and the business rules and to put in place the required transaction sets.

Future Phases for the EBT Sub Team will focus on and incorporate:

 The selection and recommendation of required computer equipment and software,
  assuring that any software selected supports the required EBT transactions.
 The completion of pre-production testing of the software, application interfaces and
  data exchange as in the EBT Implementation Guides (contained in Appendix C).
 The training of Trading Partners.

Guiding Principles

The EBT Sub Team worked with the following guiding principles. Transactions should
be developed to:

   Facilitate Consumer choice and mobility in an open market.
   Lower the requirements for entry into the market for participants.
   Act as a single point of contact for all participants and trading partners.
   Control costs and increase efficiency, speed, and accuracy.
   Minimize exception and manual processing.
   Focus on the use of electronic solutions rather than paper-based ones.



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Amendments

These EBT standards have been developed by consensus, maintaining the objective of
practical and operational results. Recognizing that the processes outlined in these
standards are new to many stakeholders, the EBT Sub Team will work with the OEB and
all parties to resolve issues that are certain to arise during the implementation stage of
these standards.


1.2 The Role of the Hub

The Hub acts as a centralized point of communication for Trading Partners in their
endeavours to operate in the open marketplace beginning November 2000. An important
role of the Hub is to validate and acknowledge transactions that are error free and reject
transactions with errors - according to approved standardized schemas.

In the case of multiple Hubs serving the Ontario marketplace, the Hubs will communicate
among themselves to pass transactions between trading partners. In this way, any trading
partner will only need to communicate with one Hub, even if the receiving trading
partner is using a different Hub. Part of each Hub‟s functionality will be to direct the
transactions to the correct trading partner using the Hub that the receiving trading partner
is connected to. All Hubs serving the Ontario retail Electricity marketplace will be
certified using the Certification Requirements in Appendix H. This will ensure that the
EBT Standards defined in this document are used throughout Ontario.

Initial Hub functionality provides simple mail boxing of EBTs. It provides a store-and-
forward service for transactions as well as an archive and audit trail of all transactions.
The Hub also issues Functional Acknowledgements for all transactions at both the reject
and accept states.

 The Hub verifies and validates that the Trading Partner is a licensed market
  participant, as defined by the OEB.
 The Hub verifies users against a trading partner directory.
 The Hub administration certifies all trading partners before they become Hub users.
 The Hub administration provides testing and training for Hub users.
 The Hub acts as a centralized repository for Schemas. All EBT Transactions for the
  Province of Ontario, as mandated in the RSC, flow through the Hub.
 The Hub rejects EBTs that do not adhere to the standardized transaction formats.
 The Hub ensures First-In-First-Out (FIFO) processing of all files by recording a date
  and time stamp.
 The Hub provides a transaction-level tracking system that acts as an audit trail for all
  transmissions that pass through the Hub.
 The Hub assumes that it is the responsibility of the originator of all files to place the
  transactions into the proper business order for processing.
 The Hub provides manual entry of EBTs for small- to medium-sized market
  participants.


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 The Hub will not allow End-Use Consumers to have access to the Hub. Consumer
  access to information will be provided via a Retailer or Distributor Web site.

Further levels of functionality will be evaluated and implemented as needed and justified.
The functionality may include such things as limited CIS "awareness". It will enable
STR responses at the Hub level by maintaining replicated Distributor databases. It may
also be expanded to include the provision of an end-use Consumer database of meter
data, history, and information. Such an advanced level would allow the Hub to
automatically perform many of the functions of the Meter Data Management Agent and
Meter Reading Service Provider.


1.3 Technology Introduction

The EBT Advisory Committee has decided to use eXtensible Markup Language (XML)
as the technology to implement EBT. XML introduces a framework of standardized
business-to-business electronic transactions that will improve the competitive landscape
of the deregulated retail energy industry. Electronic business transactions amongst
trading partners are complex, data-intensive communications that are usually costly to
establish and maintain. By implementing an XML-based electronic business transaction
standard for deregulation, the barrier of entry for Market Participants is lowered by
providing a cost-efficient, reliable, and „open‟ means of communication between Trading
Partners. Some of the benefits of using XML include:

 XML‟s ease of development allows small- and medium-sized participants to maintain
  flexibility while interacting with a wide range of trading partners.
 XML creates a richer structural and semantic environment to express the many roles
  and relationships among Market Participants.
 XML‟s extensibility is key to fulfilling its promise of simplified standards. Ease of
  parsing and validation allows developers to quickly adapt to changes in the industry.
 XML is designed for use on the Internet, allowing Trading Partners to minimize their
  costs.
 XML is widely accepted across many industries.
 XML is readable and easily parsed by computers.
 XML is available in a wide variety of low-cost tools, such as Internet Explorer.

XML is a tag-based framework used primarily to organize data in a universally
understood format. XML is a subset of the Standard Generalized Markup Language
(SGML) and is similar to Hyper Text Markup Language (HTML). The use of XML
facilitates the transmission of information from system to system, independent of
platforms. XML was created to deliver structured, readable, usable information over the
Internet platform. It is a generalized markup language that is platform-independent and
extremely flexible. XML can be used to specify the presentation of a document (font
size, indentation, etc.) or to specify structure of the document through Document Type
Definitions (DTDs) or schemas. XML is designed for Web usage and introduces a new
class of documents that do not require a predefined document type. The benefit of XML


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is that it provides a standard that allows the capacity for processing information by non-
proprietary software such as search engines, browsers, and parsers. As the interest in E-
commerce and EDI over the Internet increases, XML is proving to be a leading factor in
enabling business-to-business electronic commerce.




1.4 Glossary of Terms Used in This Document
(For a Glossary of Ontario Terms, see the Retail Settlement Code dated February 28, 2000)

This glossary has been prepared solely for the convenience and assistance of readers by
providing a narrative, non-technical description of some of the terms used in the sections
of this document.

Authentication: The logon message is utilized to authenticate a user attempting to
establish a connection to a remote system.
Blackout Period: A window or lead-time during which a Distributor may suspend
processing of STRs until the next billing cycle.
Consumer: A residential, commercial, or industrial Consumer in the electricity
marketplace who buys electric power for its own consumption and not for resale.
Contest Period: A ten-day period suspending the new enrollment given to the current
Retailer to allow a challenge of the switch to a new Retailer.
Data Dictionary: A dictionary that defines business rules and definitions in order to
implement business transactions.
Distributor: Any entity that owns and is responsible for the maintenance of local
distribution network systems, which connect the bulk transmission grid to the end-use
Consumer. In Ontario, the Distributors include the MEUs, Hydro One‟s retail arm, and
Great Lakes Power.
Document: Group of batched transactions, same as PIPE document.
Document Type Definitions (DTD): Content and element validation code used to
support each document.
E-commerce: Business to business electronic transactions
Electronic Business Transaction (EBT) Clearinghouse: A computer-based transaction
mechanism for transmitting common format data between market participants.
Electronic Data Interchange (EDI): Use of a standardized format to define electronic
business transactions.
Encryption: The exchange of sensitive data across public carrier networks may make it
advisable to employ data encryption techniques to mask the application messages. The
choice of encryption method will be determined and standardized by the Hub.
End-Use Consumer: see Consumer
Enrollment: The process of signing up a Consumer for competitive electricity supply.
Hub: A centralized computer system that enables the Trading Partners to connect and
route EBT transactions.
Hyper Text Markup Language (HTML): The basic language of the Web, which tells
Web browsers how to display elements such as text, headlines and graphics.


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Independent Electricity Market Operator (IMO):. The IMO is in charge of
administering the wholesale marketplace. This entity is independent in that it has no
commercial interest in market transactions.
Interval Metering: Metering capable of measuring and recording the amount of
electricity quantities during a defined period, such as every five or 15 minutes.
kWh: Kilowatt-hour, a standard unit for measuring electricity. Consumers are charged in
cents per kilowatt-hour. In 1996, the average residential Consumer in Ontario purchased
860 kWh per month.
kWh Metering: Metering capable of measuring the total usage or flow of kilowatt hours
on a continuing basis, but not capable of recording and tracking such usage over shorter
intervals, such as every hour or half-hour.
Load: An end-use device or Consumer that receives power from an electricity system.
Load Profile: An approximation of the amount of energy typically taken during each
hour by a Consumer or class of Consumers over a defined period, such as monthly, given
the total amount of energy metered for that defined period. Load profiles are needed for
Consumers who do not have interval meters, and are used to allocate total kWh usage
over the month to each hour, in order to perform settlements that are based on hourly
prices.
Load transfer: A network supply point of one Distributor that is supplied through the
distribution network of another Distributor and where this supply is not considered a
wholesale supply point.
Losses: The energy that is consumed (lost) in the transmission and distribution of
electricity from generation to load.
Long term load transfer (LTLT): An arrangement whereby the Consumer of one
Distributor is provided service by a neighbouring Distributor. The provision of service by
the neighbouring Distributor is transparent to the Consumer.
Market Participant: Any entity that is authorized by the market rules to produce, buy,
sell, trade, or transmit products in the IMO-administered wholesale markets. The Ontario
Energy Board will license all wholesale market participants in Ontario.
Meter Data Mart (MDM): The storage location for all IMO pricing and meter reading
information, interval meter information and non-interval information.
Meters or Metering: Equipment that measures and registers the amount and direction of
electrical quantities with respect to time.
Municipal Electric Utility (MEU): An organization that purchases power at wholesale
from Ontario Power Generation and provides retail electric service to many Ontario
cities, towns, and villages, and to certain townships adjacent to them.
Ontario Energy Board (OEB): As the regulator under the proposed market structure, the
OEB establishes the conditions for licensing market participants and regulates rates for
transmission and distribution.
Partner Interface Process(PIP): Transaction container for an individual utility trading
partner, such as Enroll STR.
Partner Interface Process for Energy (PIPE); XML-based messaging protocol for the
exchange of transactions among trading partners in the retail energy industry.
PIPE Document: Document container for a trading partner directory and one or more
PIP transactions.



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Power Flow: Power flow to a Retailer‟s new Consumer begins when the Distributor
generates the first meter read.
Rescission Period: In Ontario this is a ten-day period following a Consumer's decision to
contract with a Retailer to supply electricity. During this time the Consumer can change
their decision. A Retailer must hold the Enroll STR until the Rescission Period is over.
Retail Market or Retail Access: A market in which electricity and other energy
services are sold directly to Consumers by competing suppliers. Also known as Direct
Access.
Retail Settlements Code (RSC): The code approved by the OEB and in effect at the
relevant time, which, among other things, establishes a Distributor‟s obligations and
responsibilities associated with financial settlement among Retailers and Consumers and
provides for tracking and facilitating Consumer transfers among competitive Retailers.
Retailer: An entity that purchases electricity for the purpose of selling electricity to a
Consumer or acting as agent or broker for a Consumer or another Retailer with respect to
the sale of electricity.
Schemas: Content and element validation code used to support an XML transaction.
Settlement: The accounting and billing process whereby an entity such as the IMO
determines the amounts that each market participant should pay or be paid to compensate
for the energy and other services supplied or used, or bought and sold in the market.
Spot Market: A market in which goods are traded for immediate or near-immediate
delivery. In the current Ontario market design, the IMO operates and administers
settlements for a spot market in electricity, in which suppliers could submit bids to sell
and purchasers submit offers to buy energy through an IMO-coordinated auction, with
settlements based on market-clearing prices determined by the IMO. Market participants
are free to use the spot market to sell/purchase energy at market-clearing prices, as
needed.
Spot Market Prices: The market-clearing prices determined in a spot market and used
as the basis for settlements for all purchases and sales in that spot market.
Standard Supply Service (SSS): Electricity service provided to the Consumer directly
from the Distributor, which is not based on bilateral contracts.
Standardized General Markup Language (SGML): Highly complex vigorous
language with tags for structure content.
Time-of-Use Meter: A meter capable of measuring and recording the amount of
electricity used during a defined set period for which specific tariffs for electricity
consumption are applicable, such as daytime peak, nighttime off-peak, winter, summer.
Trading Partner Directory: Defines all trading partners within the entire PIPE
Document message.
Transaction: A message from one trading partner to another in a standardized format.
Transaction set: Multiple transactions of the same type eg, STRs, meter data
transactions.
Unbundling: Unbundling is used to describe the process whereby competing suppliers
are allowed to provide one or more products or services, such as meter read services,
electricity supply etc.
Usage: The actual consumption and demand (kWh, kW, kVA) used by the consumer
during a period as measured by the meter and with multipliers applied.



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Wholesale Market: In this Report, this refers to the market in which electricity and
other energy services are sold to wholesalers/ Retailers/Distributors. These wholesalers/
Retailers/Distributors in turn sell to retail or end-use Consumers. A wholesaler/Retailer/
Distributor of power would have the option to buy its power from a variety of generators,
and the generators would be able to compete to sell their power to a variety of
wholesalers/Retailers/Distributors.
eXtensible Markup Language (XML): A tag-based framework used primarily to
organize data in a universally understood format; it facilitates the transmission of
information from system to system independent of platform. XML was created to deliver
structured content over the Internet.
 eXtensible Style Language (XSL): The standard style sheet language for XML.




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2. Summary
The remainder of this document is comprized of the following sections:

Section 3. Technology Overview. This section is a high-level discussion of the
technology considerations for implementing EBT in Ontario.

Section 4. Business Relationships. This section summarizes the relationships between
the Consumers, Retailers and the Distributors at the start of retail competition. It is
intended to foster the development of a mutual understanding of those relationships.
These relationships result from the Retail Settlement Code. A more thorough
understanding will come from a reading of the Retail Settlement Code.

Section 5. Electronic Business Transactions. This section defines a set of electronic
business transactions corresponding to the business relationships described in Section 4.
It also includes a description of the business rules that govern the use of the transactions.

Section 6. Trading Partner Training. This section provides an overview of the
Retailer training program offered jointly by Ontario‟s Distribution companies to Retailers
and other Market Participants, covering Ontario‟s rules and requirements for using
Electronic Business Transactions.

Section 7. Trading Partner Testing. This section provides an overview of testing
objectives and test plan requirements for Market Participants working with Ontario‟s
Distributors to complete EBT testing. Test condition descriptions and instructions are
provided in Appendix E.




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Appendices:

Appendix A: Ontario EBT Transaction Sets. This appendix includes the master data
dictionary and the detailed data dictionaries for each transaction.

Appendix B: References. This appendix contains the documents referenced in this
guideline such as the Retail Settlement Code and the XML Specifications.

Appendix C: Implementation Guides. This appendix contains an implementation
guide for each XML transaction and it‟s supporting schema.

Appendix D: Reason and Status Codes List. This appendix contains the suggested
message codes to be used by the Trading Partners to communicate reject reasons, drop
reasons, status codes, etc. This list is intended as a guide and may be modified by the
Trading Partners.

Appendix E: Test Plans and Transactions. This appendix contains the detailed test
plan requirements, test conditions, and test data formats for Ontario EBT Clearinghouse
testing. This section will be completed after the first version of the EBT Guideline is
released.
(pending, to be released in a later Revision of this document)

Appendix F: Working Group Issues List. Each working group (STR, Meter, Invoice,
Remittance Advice and Application Advice, and Infrastructure) created an Issues List.
These issues were subsequently resolved. The lists are provided to give an explanation of
reasons behind any assumptions made.

Appendix G: Technology Implementation Considerations. This appendix provides a
more detailed discussion of the technology considerations for implementing EBT in
Ontario.

Appendix H: Certification Requirements for Ontario EBT Clearinghouse
This appendix contains the Certification Requirements for every Hub operating in the
Ontario retail electricity marketplace. Adherence to these Certification Requirements
will ensure that the EBT Standards are used consistently throughout Ontario, and that
each Hub can communicate transactions correctly with other Hubs in Ontario.
(pending, to be released in a later Revision of this document)

Appendix I: Certification Requirements for Hub Trading Partners
(pending, to be released in a later Revision of this document)




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3. Technology Overview

This section describes the technology considerations to implementing the Hub beyond the
choice of XML as an EBT format and translation standard as described in Section 1.3
Technology Introduction. Technology must also be employed to ensure the security,
reliability, and data transport of EBT to and from Trading Partners.

Public Key Infrastructure technology (PKI) was chosen as the key standard to adopt in
ensuring EBT Internet security characteristics of Privacy, Authentication, Integrity, and
Non-repudiation (“PAIN”). Specific technology standards followed are Secure
Multipurpose Internet Mail Extensions (S/MIME) employing Triple Digital Encryption
Standard (DES) for encryption and Secure Hash Algorithm (SHA) for Digital Signature.

EBT transport alternatives initially considered for the Ontario deregulated electricity
market included:

       Private Electronic Data Interchange (EDI) Value Added Networks (VANs)
       Internet point-to-point
       Internet EBT Clearinghouse Hub

Due to cost considerations, Private EDI VANs were not considered to be acceptable.

Internet point-to-point transport necessitating of multiple connections require significant
logistic manual intervention and support in order to insure transactions are “pushed” to
the appropriate Trading Partners in a timely manner. For example, Internet Point-to-
Point transport for a Distributor with 20 retailers as trading partners would require the
Distributor to make 20 point-to-point connections in order to deliver all trading partner
EBTs.

The Internet EBT Clearinghouse Hub, however, offered many of the advantages of the
Private EDI VAN without the burden of point-to-point connectivity. Store-and-forward
of EBT between Trading Partners is achieved through the use of low cost “mail boxing”
on the Hub‟s centralized transaction repository. Security is achieved through web session
encryption of Secure Sockets Layer (SSL) and transaction file S/MIME encryption and
digital signature.

For more information on technology implementation consideration, see Appendix G.




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4. Business Relationships

The business relationships described in this document are intended to serve as a general
guide for establishing standards for exchanging information. The overview below depicts
the high-level flow of information in Ontario‟s retail open access marketplace for
electricity supply.

                         EBT Clearinghouse Overview-OVR-1




                                                                           MP Data
   Distribution                                                             Load
    Company                                                                 Data
                                                                                       IMO
                                                                            Price    (Web Site)
                                                                            Data
                                                                            IMO
    Market Participant     Customer
                                                                           Charges
          Data            Information                 Meter Data Mart
    (May be web site)       System




                                     Meter
                           STR                 Invoicing   Payments
                                     Data




                                   EBT Clearinghouse




                                     Meter
                             STR               Invoicing Payments
                                     Data




                                        Retailer




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To establish a set of mutually agreed upon standards, Market Participants must first have
a mutual understanding of the business relationships to which the standards will be
applied in accordance with the OEB‟s Rules. The following represents the current
understanding of these responsibilities and relationships.

Consumer:

1. Provides appropriate authorization to a Retailer for release of historical consumption
   and payment information from the Distributor to that Retailer.
2. Selects one Retailer for enrollment per Distributor account.
3. Provides the applicable Distributor account identification to the Retailer.
4. Provides the appropriate authorization for the Retailer to enroll the Consumer.
5. Selects a billing option per Distributor account from Retailer, if offered or applicable.
6. Notifies Retailer to drop from Retailer to Standard Supply Service (SSS);
   alternatively may contact Distributor to drop to SSS but may incur charge with this
   option if off-cycle.
7. Notifies Distributor or Retailer of a move, initiation, or disconnect of Distributor
   service.
Retailer:

1. Obtains licence from the Ontario Energy Board.
2. Enters into a service agreement with each Distributor in whose territory it will
   operate.
3. Obtains the appropriate authorization from the Consumer for historical consumption
   information and payment history information to be released by the Distributor to the
   Retailer.
4. Obtains the appropriate authorization from the Consumer for Enroll STR.
5. Obtains the required information from the Consumer to enroll the Consumer on the
   Distributor‟s records.
6. Submits Enroll STR after the 10-day Consumer rescission period has passed. There is
   one enrollment per Distributor account and one billing option per Distributor account.
7. Sends the applicable information via the Hub Clearinghouse to the Distributor for
   Consumer enrollment, changes, or termination of service.
8. Provides the Distributor with billing options and pricing information for the
   Distributor Consolidated billing option or renders its own bills to the Consumer for
   generation service.
9. Maintains its own set of records to reconcile information from the Distributor related
   to Consumer information and accounts receivable.
10. Completes required training and electronic systems testing of the EBT prior to
    Consumer enrollment.

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11. Identifies both a business and a technical contact to facilitate inter-business
    communications.
12. Contacts each Distributor for company-specific information, such as rate structures.
13. Processes transactions according to EBT standards, including use of a functional
    acknowledgement.
14. Responsible for collecting own arrears from the Consumer on Split Billing.
15. Requests Meter Information along with the initial request for historical Usage data as
    separate STRs.
16. Agrees to handle unmetered service changes by mutual agreement with the
    Distributor and not by via the EBT.

Distributor:

1. Provides the Consumer‟s historical usage information and other payment history to
   the authorized Retailer upon request.
2. Schedules cycle meter-read dates and reads meters.
3. Schedules and completes off-cycle (special) meter reads under terms of service
   agreement with Retailer.
4. Renders bills to the Consumer as required by Consumer/Retailer relationship.
5. Maintains records of required data related to the current and active Consumer/Retailer
   services.
6. Provides the Retailer with invoice meter data information required by the agreed upon
   billing option.
7. Identifies both a business and a technical contact to facilitate inter-business
   communications.
8. Makes available to the Retailer and Consumer data, including but not limited to meter
   data, standards documents, meter read schedules, etc.
9. Is the sole party who can terminate (ie, physically disconnect) electric service to the
   Consumer.
10. Processes EBT transactions and updates Consumer account information according to
    EBT standards, including use of Functional Acknowledgements on all transactions.




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 5. Electronic Business Transactions

 This section describes the EBT Standards, business process flows and business rules.
 The following table lists the EBTs, their associated flows and page reference numbers.

Transaction Set                                                 Flows                     Page

Service Transaction Requests (STR)
   Enroll Request, Reject, Accept                               STR-1, 2, 3, 4, 5, 6, 7   25
   Consumer Information Request, Reject, Accept                 STR-1, 2                  25
   Historical Usage                                             STR-8                     32
   Payment History                                              STR-9                     32
   Meter Change Request, Reject, Accept                         STR-10, 11                33
   Consumer Information Change Request, Reject, Accept          STR-12, 13                36
   Consumer Location Change Request, Reject, Accept             STR-14, 15, 16, 17, 18    38
   Drop Request, Reject, Accept                                 STR-19, 20, 21            44
   Status Advice                                                Various Flows

Meter Data Transaction (MDT)
  Usage                                                         MDT-1                     53
  Meter Maintenance                                             MDT-2, 3, 4               55
  Historical Usage Accept                                       MDT-5, 6                  58

Invoice Transaction (INV)
   Split Billing                                                INV-1                     60
   Distributor Consolidated - Bill Ready                        INV-2                     61
   Distributor Consolidated - Rate Ready                        INV-3                     64
   Retailer Consolidated - Bill Ready                           INV-4                     66
   Retailer Consolidated - Rate Ready                           INV-5                     68
   Settlement Invoice - Retailer Consolidated Bill Ready        INV-6                     69
   Settlement Invoice - Retailer Consolidated Rate Ready        INV-7                     70
   Settlement Invoice - Distributor Consolidated Bill Ready     INV-8                     70
   Settlement Invoice - Distributor Consolidated Rate Ready     INV-9                     71
   Settlement Invoice - Split Billing                           INV-10                    71
   Market Participant Invoice                                   INV-11                    73

Remittance (PA)
  Distributor Consolidated Remittance                           PA-1                      79
  Retailer Consolidated Remittance                              PA-2                      80


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Transaction Set                                                Flows                 Page

  Settlement Remittance                                        PA-3                  81
  Market Participant Remittance                                PA-4                  83

Application Advice (AA)
  Application Advice Accept                                    AA-1                  85

Status Advice (SA)
   Status Advice                                               Various Flows         89

Functional Acknowledgements (FA)
  Functional Acknowledgements                                  FA-1, 2




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Business Rules For All Transaction Sets

Below are the business rules that correspond to every electronic transaction.

       All Electronic Business Transactions between trading partners flow through the
        Hub.
       All trading partners, including the Hub, generate a Functional Acknowledgement
        upon receipt of every PIPE document.
       All EBTs contain the basic information identifying the sender and receiver by
        their respective OEB License numbers.
       All transactions must be given a unique transaction number assigned by the
        originator.
       All transactions must be date/time stamped upon creation by the originator of the
        transaction.


EBT Life Cycle Example
This section describes a simple scenario for EBT transaction processing between a
Distributor and a Retailer, from the Distributor‟s perspective. The billing option used in
this scenario is Distributor Bill-Ready Consolidated Billing.

Initiating the Enrollment
A Consumer who wishes to change his or her electricity supplier from the Distributor to a
Retailer contacts the Retailer to initiate this process. It is assumed in this scenario that
the Distributor and Retailer are licensed market participants. According to the published
Retail Settlement Code (RSC), the Retailer sends an Enroll Service Transaction Request
(STR) to the Distributor via the Hub to initiate the process.

Hub Processing
When the Hub receives the Enroll STR from the Retailer, the Hub validates the required
data fields and their data type, according to the schemas defined in Appendix C of this
document. The Hub also verifies and validates that the Retailer is a licensed market
participant and Trading Partner with the Distributor. A Functional Acknowledgement
(FA) transaction is the result of both of these processes. The FA reports that the
Retailer‟s Enroll STR is syntactically correct by indicating either “acceptance” or
“rejection”. An FA is the response for all non-FA transactions sent between Trading
Partners.

If the Enroll STR is in error, the Hub sends the “reject” FA to the Retailer, who must then
correct the Enroll STR and send the new corrected version to the Hub. When the Hub
receives a valid Enroll STR from the Retailer, it assigns an internal “receipt” date and
time stamp to the transaction. The Hub forwards the verified and validated transactions
to the Distributor in the order in which they were accepted from the Retailer. The Hub
also “archives” the transaction for auditing purposes and file recovery.


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Distributor Processing
When the Distributor receives the Enroll STR, the Distributor validates it based on the
application and business rules. The Distributor then sends an “accept” or “reject” STR
response to the Retailer via the Hub. The Retailer can also request Historical Payment or
Historical Usage information for an account, however, these requests must be submitted
as separate STRs from the Enroll STR. In the case of the Historical Usage Request STR,
a request for Meter Information must also be submitted. There are several possible
responses, depending on the specific information requested. The Distributor sends a
Historical Payment Transaction, a Historical Usage Accept Transaction (MDT) response
and a Meter Maintenance Transaction (MDT) response, or “reject” STR response. The
Retailer can also submit a Meter Information request STR independent of Historical
Usage Request STR. When the Retailer receives responses to any of the STRs, the
Retailer validates the data and sends an Application Advice (AA), indicating
“acceptance” or “rejection” of the data, to the Distributor via the Hub

After enrollment, at the next scheduled meter read date for the account, the Distributor
reads the Consumer‟s meter and sends the Usage Transaction containing the usage for the
meter to the Retailer via the Hub. In the event that the Distributor cannot read the meter,
the Distributor sends a Status Advice (SA) to the Retailer indicating the new enrollment
effective date and the reason for the delay. When the Retailer receives the Usage
Transaction, the Retailer validates the data and sends an Application Advice (AA),
indicating “acceptance” or “rejection” of the data, to the Distributor via the Hub. If the
Retailer rejects the Usage Transaction at the data level, the Distributor corrects and
resends the new corrected version to the Retailer.

At the next meter read date for the Consumer‟s account, the Distributor reads the meter
and sends the billing usage information to the Retailer, as a Usage MDT via the Hub,
according to the new billing cycle for the Consumer‟s account.

Billing Period Processing
At the end of the account‟s billing period, the Retailer sends its portion of the
Consumer‟s bill to the Distributor as a bill-ready Invoice (INV). When the Distributor
receives the Retailer‟s bill-ready line items for its portion of the invoice, the Distributor
validates the data and sends an AA, indicating “acceptance” or “rejection” of the data, to
the Retailer. When the Distributor receives a valid invoice from the Retailer, the
Distributor forwards a Payment Advice (PA) via the Hub to the Retailer. This completes
the billing process for the Consumer‟s account.




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5.1 Service Transaction Requests
Introduction
A Service Transaction Request is defined in the Retail Settlement Code as, “A
mechanism that initiates a change from current service provision to alternative service
provision.” Service Transaction Requests have many purposes including the request for
enrollment, Consumer historical information, a meter change out, a change of Consumer
information, change of Consumer location, and a drop to Standard Supply Service (SSS).

Validation of STRs
Per the Retail Settlement Code (RSC), the Distributor must perform a rigorous validation
on three matching criteria for each STR. The criteria are:

   the Distributor‟s Consumer account number;
   the Consumer‟s name as it appears on the bill, (first four alpha-numeric print
    characters, uppercase only, (A-Z and 0-9) left to right with special characters and
    blanks excluded);
   the Consumer‟s address defined as the postal code of the mailing address.

The EBT Sub Team has designed these validation rules in accordance with the RSC. To
facilitate computerized matching on these pieces of information, the name and address
fields were further defined. These shorter, more distinct pieces of information create a
more consistent validation process among the Distributors and make the enrollment
process consistent and fair for the Retailers.

There are other validations that will be performed on STRs by the Distributor, including
the presence of a service agreement with the Retailer and a check for duplicate requests, a
check on the prudential requirements, etc.

STR Responses
Each Request transaction has an Accept transaction and a Reject transaction. STRs are
the only EBTs that are designed this way. All other transactions such as Meter Data,
Invoice, and Payments are accepted or rejected with a transaction called the Application
Advice detailed in another section.

All Service Transaction Requests must be responded to within five working days of
receipt of the request. The response may be an “accept” transaction or a “reject”
transaction. See Appendix D for the list of reject reason codes used in STR processing.

STR Lead Time for Processing
The Distributor may require some lead-time to schedule and conduct field and business
activities required to complete an STR. This “Blackout” period is described in more
detail at the end of the STR-Enroll section.




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The following section describes each of the types of STRs. Process flows are provided
for multiple scenarios of enroll, change, and drop STRs.

5.1.1 STR – Enroll

Definition/purpose
The Enroll STR signs up the Consumer for competitive electricity and other services
supplied by a Retailer.

Flow
After the Consumer has signed a contract with the Retailer and the ten-day rescission
period is over, the Retailer sends the Distributor an Enroll Request.

General Description of Data
The information sent in the Enroll Request includes the three validation fields described
previously in this section, the billing option (Distributor Consolidated, Retailer
Consolidated or Split Billing), and the read indicator that determines how the first meter
read will be obtained to begin power flow from the Retailer. The Enroll Request may ask
for the effective date to coincide with the Consumer‟s next scheduled meter-read date, the
latest historical read, a specified meter reading, a meter change out, or a future meter
cycle. The reading must be an actual meter read. An estimated reading may be used only
with written consent from all parties.

Response
The Distributor confirms the successful enrollment with the Enroll Accept. A successful
Enroll Request matches the three account identification criteria and contains all the
necessary information regarding billing options and read indicators for the Distributor to
process the request. Refer to Validation of STRs in the introduction to the STR section.
The Enroll Accept file contains a complete Consumer record including billing address
information and service address information.

The Enroll Reject transaction informs the Retailer that the Enrollment was rejected
provides the reasons for the reject, and echoes back the Retailer‟s request data. Some
possible reject reasons include “Consumer in Arrears”, “Account Not Found”, and
“Prudential Requirements not Met”.

The accept or reject response must be sent within five working days of the receipt of the
request.

Rules
The general rule for an STR is that there can be only one request for enrollment for one
Distributor account, and one billing option per Distributor account. There are two basic
types of STR Enroll transactions. They are the Standard Supply Service to Retailer and
the Retailer to Retailer Switch. Some of the possible scenarios are described below.




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Standard Supply Service to Retailer Enroll
In this scenario the Consumer is on Standard Supply Service when the Retailer sends an
Enroll Request to the Distributor. If no other enrollment is submitted during the
enrollment processing lead-time, the Retailer starts providing power to that Consumer on
the next meter read date.

Retailer to Retailer Switch
In this scenario there is already a Retailer for the Consumer at the time that another
Retailer sends an Enroll Request for the same Consumer. Retailer A can be either
pending or already providing power. If the STR is complete, the Distributor must process
the new STR and send an Enroll Accept along with a notification called a “Status
Advice”. This tells the Retailers that there is a pending switch. This Status Advice has a
status code of “Notice of Pending Switch”, which is abbreviated in the process flows as
“NPS”.

It is foreseeable that there may be cases where the Consumer selects more than two
Retailers and that those Retailers will attempt to enroll the same Consumer. The first
enrollment in will be processed through to the Enroll Accept. The second enrollment will
then be processed if the blackout period has not begun. If a third Retailer sends an Enroll
Request, the STR will be rejected with a reason code to indicate “Enroll Requests Limit
Exceeded.” In this manner, no more than two enrollments may be pending at one time.

Legend for Transaction Flows
1. Dotted lines indicate communication outside the EBT System.
2. Retailer A is the current or old Retailer and Retailer B is the new Retailer.
3. SA is an abbreviation for Status Advice in some flows.
4. The purpose or message of the Status Advice is abbreviated on the flows as follows:
  a. NED - New Effective Date
  b. CPO - Contest Period Over
  c. 10+ - Additional 10 Days
  d. TXReq – Terminate Transfer Request
  e. NPS – Notice of Pending Switch
  f. CCL – Consumer Change Location




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                                 TRANSACTION FLOW STR-1:
                                SSS to Retailer Enroll STR - Accept

This is an Enroll STR. The Consumer is on Standard Supply Service. The STR is not valid and is
rejected.

                        1. Enroll/ Request                               1. Enroll/ Request
    RETAILER                                               HUB
                                                                                                DISTRIBUTOR
                        2. Enroll/ Reject                                2. Enroll/ Reject


Flow:
1. Retailer submits an Enroll Request with an incorrect consumer name.
2. Distributor responds within 5 working days of receipt and sends an Enroll Reject with a reason code
    “Invalid Consumer Name”
3. Rules:
 The Distributor must send the appropriate reason codes for the rejection.

Exceptions: None

Roles and Responsibilities: None



                                  TRANSACTION FLOW STR-2:
                                 SSS to Retailer Enroll STR - Reject

This is an Enroll STR with valid, complete information. The Consumer is on Standard Supply
Service. The STR is accepted.



                            1. Enroll                                           1. Enroll
                                                           HUB
    RETAILER                                                                                    DISTRIBUTOR
                          2. Enroll Accept                                   2. Enroll Accept



Flow:
1. Retailer submits a valid Enroll request.
2. Distributor sends the Enroll Accept within 5 working days.

Exceptions: None

Roles and Responsibilities: None




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                                     TRANSACTION FLOW STR-3:
                                         Enroll/Switch STR

In this scenario, the Consumer is already enrolled with Retailer A, with Power flowing, when
Retailer B submits an Enroll STR. Retailer A does not contest the switch.


                     1. Enroll Request                                            1. Enroll Request
       RETAILER        2. Enroll Accept                                         2. Enroll Accept
                                                           HUB
          B                                                                                                  DISTRIBUTOR
                       3. Status Advice (NPS)                                 3. Status Advice to A (NPS)

                       4. Status Advice (CPO)                                 3. Status Advice to B (NPS)

                                                                              4. Status Advice (CPO)
                                                                                5. Drop Request
                                                                                6. Drop Accept



                                                3.Status
                                                Advice               6.Drop
                                                (NPS)                Accept
                                                           5.Drop
                                                           Request




                                                       RETAILER A



Flow:
1. Retailer B submits Enroll Request to the Distributor for Retailer A‟s Consumer.
2. Distributor sends an Enroll Accept to Retailer B within 5 working days of receipt.
3. Distributor sends two Status Advice of Notice of Pending Switch (NPS) messages within the same 5
    working days as the Enroll Accept. One message goes to Retailer A, the other to Retailer B. The
    date/time stamp on the outbound Notice of Pending Switch starts the beginning of the 10 day contest
    period.
4. When the 10 days have passed, Distributor notifies Retailer B with Status Advice of Contest Period
    Over (CPO).
5. Distributor then sends a Drop notification to Retailer A.
6. Retailer A sends Drop Accept within 5 working days of receipt of the Drop Request.

Rules:
 If there is no action from Retailer A, the Distributor drops Retailer A following the expiration of the 10
    day hold.

Exceptions: None

Roles and Responsibilities:
Distributor is responsible for notifying Retailer B with switch results.




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                                        TRANSACTION FLOW STR-4:
                                            Enroll/Switch STR

In this scenario, the Consumer is enrolled with Retailer A but the power flow has not begun.
Retailer B submits an Enroll STR. Retailer A does not contest the switch.



                     1. Enroll Request                                        1. Enroll Request
                     2. Enroll Accept                                         2. Enroll Accept
     RETAILER                                           HUB                                             DISTRIBUTOR
                                                                          3. Status Advice to A (NPS)
        B
                     3. Status Advice (NPS)
                                                                          3. Status Advice to B (NPS)
                     4. Status Advice (CPO)
                                                                          4. Status Advice to A (CPO)

                                                                          4. Status Advice to B (CPO)




                                          3. Status           4. Status
                                          Advice              Advice
                                          (NPS)               (CPO)




                                                       RETAILER
                                                          A




Flow:
1. Retailer B submits enrollment request for Retailer A‟s Consumer.
2. Distributor sends an Enroll Accept to Retailer B within 5 working days of receipt.
3. Distributor sends two Status Advices with Notice of Pending Switch (NPS) messages, one to each of
    the two Retailers. This starts the beginning of the 10 day contest period.
4. Distributor waits 10 days and then notifies Retailers A and B each with a Status Advice of Contest
    Period Over (CPO).

Rules:
 If there is no action from Retailer A, the Distributor notifies both Retailers that the contest period is
    over following the expiration of the 10 day hold.
 The Status Advice (Contest Period Over) may also contain a new effective date if the contest period
    has affected the original effective date sent in the Enroll Accept.

Exceptions: None

Roles and Responsibilities:
Distributor is responsible for notifying Retailer B and Consumer of switch results, only if the Retailer has
challenged and asked for the additional 10 days.




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                                      TRANSACTION FLOW STR-5:
                                          Enroll/Switch STR
In this scenario, the Consumer is enrolled with Retailer A but power flow has not begun. Retailer A
contests Retailer B’s enrollment and the Consumer cancels the switch to Retailer B by contacting the
Distributor.

               1. Enroll Request                                               1. Enroll Request
 RETAILER        2. Enroll Accept                                           2. Enroll Accept
                                                      HUB
    B                                                                                                     DISTRIBUTOR
                 3. Status Advice (NPS)                                 3. Status Advice to A (NPS)
                                                                        3. Status Advice to B (NPS)
                 5. Status Advice (+10)
                                                                          4. Status Advice (+10)
                                                                          5. Status Advice (+10)
               6. Status Advice (TXREQ)                                   6. Status Advice to A (TXREQ)
                                                                          6. Status Advice to B (TXREQ)



                                                      6.SA
                                           3.SA       (TXReq)                                              Cancel
                                           (NPS)                                                           Switch
                                                                5.SA
                                                    4.SA        (+10)
                                                    (+10)



                                                       RETAILER A                                           CONSUMER



Flow
Consumer is pending enrollment with Retailer A
1. Retailer B submits an Enroll Request.
2. Distributor validates and accepts the enrollment within 5 working days of receipt.
3. Distributor notifies both Retailer A and Retailer B that the transaction is contestable by sending both
    Retailers a Status Advice - Notice of Pending Switch (NPS). The Distributor starts a 10 day wait to
    hear back from Retailer A whether or not they want to request an additional 10 days to resolve the
    contest.
4. Retailer A requests an additional 10 days to discuss with the Consumer by sending a Status Advice
    Additional 10 Days (+10) to the Distributor.
5. The Distributor must notify non-requesting parties that the contest period has been extended by
    sending a Status Advice Additional 10 Days (+10).
   Consumer notifies Distributor of desire to Cancel the enrollment with Retailer B (Cancels the Switch)
   within the 10 day window.
6. The Distributor then notifies both Retailers of the Status Advice Terminate Transfer Request
    (TXREQ).

Consumer remains with Retailer A.

Rules:
Since this is a „pending‟ enrollment with Retailer A, a Drop transaction is not required to terminate the
pending enrollment request, only a Status Advice with „TxReq‟ (Terminate Transfer Request).

Exceptions: None

Roles and Responsibilities: None



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                                      TRANSACTION FLOW STR-6:
                                          Enroll/Switch STR

In this scenario, the Consumer is enrolled with Retailer A but power flow has not begun. Retailer A
contests Retailer B’s enrollment and the Consumer cancels the switch to Retailer B by notifying
Retailer A.
               1. Enroll Request                                            1. Enroll Request
 RETAILER        2. Enroll Accept                                         2. Enroll Accept
                                                      HUB
    B                                                                                                 DISTRIBUTOR
                 3. Status Advice (NPS)                                 3. Status Advice to A (NPS)
                                                                        3. Status Advice to B (NPS)
                 5. Status Advice (+10)
                                                                        4. Status Advice (+10)
                                                                        5. Status Advice (+10)
               7. Status Advice (TXREQ)                                 6. Status Advice (TXREQ)
                                                                        7. Status Advice (TXREQ)



                                                      6.SA
                                           3.SA       (TXReq)
                                           (NPS)
                                                                5.SA
                                                    4.SA        (+10)
                                                    (+10)
                                                                                      Cancel
                                                                                                        CONSUMER
                                                                                      Switch
                                                       RETAILER A


Flow:
Consumer is pending enrollment with Retailer A.
1. Retailer B submits an Enroll Request.
2. Distributor validates and accepts the enrollment within 5 working days of receipt.
3. Distributor notifies both Retailer A and Retailer B that the transaction is contestable by sending both
    Retailers a Status Advice (Notice of Pending Switch). The Distributor starts a 10 day wait to hear back
    from Retailer A whether or not they want to request an additional 10 days to resolve the contest.
4. Retailer A requests an additional 10 days to discuss with the Consumer by sending a Status Advice
    (Additional 10 Days) to the Distributor.
5. The Distributor must notify non-requesting parties that the contest period has been extended by
    sending a Status Advice (Additional 10 Days).
Consumer notifies Retailer A of desire to Cancel the enrollment with Retailer B (Cancels the Switch)
within the 10 day window.
6. Retailer A sends the Distributor Status Advice (Terminate Transfer Request).
7. The Distributor then notifies the non-requesting parties of the Status Advice (Terminate Transfer
    Request).
Consumer remains with Retailer A.

Rules:
Since this is a „pending‟ enrollment with Retailer A, a Drop transaction is not required to terminate the
pending enrollment request, only a Status Advice with „TxReq‟ (Terminate Transfer Request).

Exceptions: None

Roles and Responsibilities: None




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                                      TRANSACTION FLOW STR-7:
                                          Enroll/Switch STR

In this scenario, the Consumer is enrolled with Retailer A but power flow has not begun. Retailer A
contests Retailer B’s enrollment and the Consumer cancels the switch to Retailer B by notifying
Retailer B.
               1. Enroll Request                                            1. Enroll Request
 RETAILER        2. Enroll Accept                                         2. Enroll Accept
                                                      HUB
    B                                                                                                 DISTRIBUTOR
                 3. Status Advice (NPS)                                 3. Status Advice to A (NPS)
                                                                        3. Status Advice to B (NPS)
                 5. Status Advice (+10)
                                                                        4. Status Advice (+10)
                                                                        5. Status Advice (+10)
               6. Status Advice (TXREQ)                                 6. Status Advice (TXREQ)
                                                                        7. Status Advice (TXREQ)



                                                      7.SA
  Cancel                                   3.SA       (TXReq)
  Switch                                   (NPS)
                                                                5.SA
                                                    4.SA        (+10)
                                                    (+10)


    CONSUMER
                                                       RETAILER A




Flow:
Consumer is pending enrollment with Retailer A
1. Retailer B submits an Enroll Request.
2. Distributor validates and accepts the enrollment within 5 working days of receipt.
3. Distributor notifies both Retailer A and Retailer B that the transaction is contestable by sending both
    Retailers a Status Advice (Notice of Pending Switch). The Distributor starts a 10 day wait to hear back
    from Retailer A whether or not they want to request an additional 10 days to resolve the contest.
4. Retailer A requests an additional 10 days to discuss with the Consumer by sending a Status Advice
    (Additional 10 Days) to the Distributor.
5. The Distributor must notify non-requesting parties that the contest period has been extended by
    sending a Status Advice (Additional 10 Days).
Consumer notifies Retailer B of desire to Cancel the enrollment with Retailer B (Cancels the Switch)
within the 10 day window.
6. Retailer B sends the Distributor a Status Advice (Terminate Transfer Request).
7. The Distributor then notifies the non-requesting parties of the Status Advice (Terminate Transfer
    Request).
Consumer remains with Retailer A.

Rules:
Since this is a „pending‟ enrollment with Retailer A, a Drop transaction is not required to terminate the
pending enrollment request, only a Status Advice with „TxReq‟ (Terminate Transfer Request).

Exceptions: None

Roles and Responsibilities: None



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5.1.2 STR -- Consumer Information Requests: Historical Usage, Meter
Information, and Historical Payment.

Definition/Purpose
The Consumer Information Request STR is issued by the Retailer to gather information
about the Consumer. The Retailer can request usage history, meter information, or
payment history, as separate requests. The Retailer is responsible for obtaining and
maintaining the appropriate Consumer authorization in accordance with OEB rules. See
transaction flow STR-8 and 9.

Flow
The Retailer sends a Meter Information Request, a Historical Usage Request or a
Historical Payment Request to the Distributor. The Distributor can reject any of the
transactions if validation fails and indicate the reason for the rejection. If a request is
accepted, the Distributor responds with a Meter Maintenance Transaction, a Historical
Usage Accept Transaction, or a Historical Payment Accept Transaction, depending on
the files requested.

General Description of Data
The request transaction includes account identification information and indicates whether
meter information, historical usage or payment history is requested and how many
periods. A request can be for up to 24 billing periods of meter or payment history.

Response
The Distributor responds by:
     Sending a Historical Payment Accept if payment history was requested. A
       response for payment history includes the number of payment periods available
       for the Consumer, number of disconnects and NSF cheques within the payment
       period and how many days the Consumer‟s balance is overdue.
     Sending a Meter Maintenance Transaction if meter information was requested
     Sending a Historical Usage Accept if historical usage was requested. See the
       Meter Data Transaction section for details on the data sent in the Historical
       Usage and Meter Information Responses.
     Sending a Reject Response (STR) if no data is available for the Consumer or if
       validation failed.

Rules
If meter information has not been requested prior to the historical usage request, it must
be submitted as a separate STR at the same time.




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                                         Transaction Flow STR-8:
                                          Historical Usage Accept
                                                                          1.       Historical Usage
                        1. Historical Usage Request                                Request
         RETAILER         2. Meter Info Request                 HUB            2. Meter Info Request       DISTRIBUTOR
                         3. Historical Usage Accept                        3. Historical Usage Accept
                           4. Meter Maintenance                                 4. Meter Maintenance


Flow:
    1.     The Retailer sends a Historical Usage request to the Distributor
    2.     The Retailer sends a Meter Information request (if not previously requested) to the
           Distributor
    3.     The Distributor responds with a Historical Usage Accept transaction
    4.     The Distributor responds with a Meter Maintenance transaction, as appropriate

Rules: None

Exceptions: None

Roles and Responsibilities: None

                                             Transaction Flow STR-9:
                                                Historical Payment


                        1. Historical Payment Request                     1. Historical Payment Request
         RETAILER                                               HUB                                        DISTRIBUTOR

                         2. Historical Payment Accept                      2.Historical Payment Accept




Flow:
1. The Retailer sends a Historical Payment Request to the Distributor.
2. Distributor responds with the Historical Payment Accept.

Rules: None

Exceptions: None

Roles and Responsibilities: None




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5.1.3 STR - Meter Change Request

Definition /purpose/flow
The Meter Change Request is used by the Retailer to request a new type of meter to be
installed by the Distributor for an end-use Consumer. See Transaction Flow STR-10 and
11.

Data
The Retailer must include the meter number for the existing meter that will be removed
and the meter type for the replacement. In the Meter Change Accept transaction, the
Distributor will send the meter cycle and billing cycle if these are different due to the
meter change. The Retailer will request a change meter installation date and the
Distributor will either confirm this date or provide a new projected installation date in the
accept transaction.

Response
The Distributor will respond to the Meter Change Request with an accept or a reject
transaction The Meter Change Request may be rejected for reasons such as "the existing
meter number does not match" or "the type of meter requested is incompatible with the
service information".

Rules
The Distributor will bill the Retailer for the new meter installation. If a Consumer on
competitive service calls the Distributor with a change meter request, the Distributor will
advise the Consumer to call the Retailer, since a change in the meter type may not be
consistent with the Consumer‟s current contract with the Retailer. The Distributor will
make available a list of the meter options provided to the Retailers.


                                TRANSACTION FLOW STR-10:
                                  Meter Change STR - Reject

This is a Meter Change Request. The STR is rejected.


                      1. Change Meter Request                       1. Change Meter Request
      RETAILER                                            HUB                                  DISTRIBUTOR

                       2. Change Meter Reject                        2. Change Meter Reject



Flow:
1. Retailer submits a Meter Change Request to the Distributor.
2. Distributor responds within 5 working days of receipt and sends a Meter Change Reject.

Rules:
 The Distributor sends the appropriate reason codes for the rejection.

Exceptions: None
Roles and Responsibilities: None


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                                   TRANSACTION FLOW STR-11:

                                        Meter Change STR - Accept

This is a Meter Change Request. The STR is accepted.



                        1.Change Meter Request                           1. Change Meter Request
        RETAILER
                                                             HUB
                                                                                                       DISTRIBUTOR
                        2. Meter Change Accept                            2. Meter Change Accept

                       3. Status Advice, if needed                       3. Status Advice, if needed



Flow:
1. Retailer submits an Enroll request that includes a Meter Change Request to the Distributor.
2. Distributor sends the Enroll Accept and Meter Change Accept within 5 working days of receipt.
3. Distributor sends a Status Advice if the effective date is changed (i.e., if the meter change out delays
    enrollment effective date).

Rules:
 A Status Advice with a New Effective Date is sent when the Distributor determines that the meter
    change out date will be different than the meter change date sent with the Meter Change Accept.

Exceptions: None

Roles and Responsibilities:
The Distributor must notify the Retailer when the status of STRs change.




5.1.4 STR - Change Consumer Information

Definition/Purpose
The Change Consumer Information STR is a transaction for communicating information
changes between the parties who service the consumer. Any field within the Enroll
Accept file may be changed.

Flow
This request may be sent by either the Distributor to the Retailer or by the Retailer to the
Distributor. There is no requirement for the Distributor to match their information to the
Retailer. The Distributor is the “owner” of the Consumer information. See Transaction
Flow STR-12 and STR-13.

Data Description
The sender will provide the transaction purpose, the field changed, the reason for the
change, the changed information, and the effective date.




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Response
The party receiving the Change Consumer Information request will respond within five
business days upon receipt by sending a Change Consumer Information Accept. If the
Change Consumer Information Request sent to the Retailer, the Retailer will echo back
the same fields sent by the Distributor. If the Change Consumer Information Requests
sent to the Distributor, the Distributor will amend its records where appropriate and
respond back to the Retailer with the new current data.

Rules
Once a Consumer has been enrolled with a Retailer, this STR may be used to
communicate updated information between the Retailer and the Consumer even though
power flow from the Retailer has not begun. The Distributor ultimately owns the
information of record regarding the Consumer. Rate changes and billing options made
between bill cycles will be effective as of the previous meter reading. Therefore, the new
rate/billing option is effective for the entire billing period. Changes to billing options
need to be sent on the Change Billing Option Transaction. Either party is obligated to
inform the other party of changes, however, each party will decide what information to
verify and store in their CIS.




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                                  TRANSACTION FLOW STR-12:
                                 Change Consumer Information STR

                                             Distributor to Retailer

              1. Change Consumer Information Request
                                                                        1. Change Consumer Information Request
                                                            HUB
   RETAILER                                                                                                          DISTRIBUTOR
              2. Change Consumer Information Accept
                                                                        2. Change Consumer Information Accept

Flow:
1. Distributor sends a Change Consumer Information Request to the Retailer.
2. Retailer responds within 5 working days of receipt and sends a Consumer Information Change Accept.

Rules:
 The Distributor is considered the “owner” of the Consumer Information. The Distributor must provide
    the Retailer with updates to the Consumer records.

Exceptions: None

Roles and Responsibilities: None



                                  TRANSACTION FLOW STR-13:
                                 Change Consumer Information STR

                                             Retailer to Distributor
                   1. Change Consumer Information Request
                                                                            1. Change Consumer Information Request
                                                                  HUB
        RETAILER                                                                                                          DISTRIBUTOR
                     2. Consumer Information Accept
                                                                              2. Consumer Information Accept


Flow:
1. Retailer sends the Change Consumer Information Request to the Distributor.
2. Distributor responds within 5 working days of receipt and sends a Consumer Information Change
    Accept. The Distributor may or may not change the Consumer records per the Retailer request, but
    must send back to the Retailer the field as it is in the Distributor‟s system.

Rules:
 The Distributor is considered the “owner” of the Consumer Information. The Retailer must provide
    the Distributor with updates to the Consumer information if changed.

Exceptions: None

Roles and Responsibilities: None




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5.1.5 STR – Change Consumer Location

Definition/purpose
A Consumer may move to new premises within or outside of the Distributor service
territory. The Change Consumer Location STR is used only when the move is within the
Distributor service territory. It provides the opportunity for a Consumer to retain
enrollment with their existing Retailer at their new premises. When the Consumer moves
outside the Distributor‟s territory, a STR-Drop is used. See Transaction Flows STR-14,
15, and 16 for moves inside the Distributor‟s territory and see Transaction Flows STR-
17 and 18 for moves outside the Distributor‟s territory. The rules for each of these
scenarios is described at the end of this section.

Flow
Typically, a Consumer will contact the Distributor when they are moving. If the
Consumer contacts the Retailer instead, the Retailer may refer the Consumer to the
Distributor or send a Status Advice to the Distributor notifying of Consumer intent to
move. In any event, the Distributor and the Consumer will make contact to arrange
details of the move.

General Description of Data
The information sent in the Change Consumer Location Request includes the new
Distributor account number, the new billing and service addresses, and the date of the
move.

Response
If the Retailer replies with a Change Consumer Location Reject, the Distributor will drop
the Consumer to Standard Supply Service at the new location.

If the Retailer replies with a Change Consumer Location Accept, or does not reply before
the move, the Distributor will maintain Consumer enrollment with the Retailer at the new
location, provided the rules listed below are met.

Rules
The Change Consumer Location Request allows a Consumer to stay enrolled with the
same Retailer at the new address and must occur when the following conditions are met:

             the account is residential at the old and new locations;
             the account billing method is split billing or bill ready option (not rate ready);
             the Consumer contacts the Distributor at least ten business days prior to the
              move;
             the Consumer knows where they are going (Distributor account);
             there is no break in service (concurrent service will be allowed);
             there is only one meter at old and new locations.

Any break in service will terminate the Retailer relationship and require a new
enrollment.

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Restrictions on the use of the Change Consumer Location Request transaction will be
worked out in the Trading Partner Agreement.

The Distributor will not delay the move if there is not sufficient lead time for notification
and response from the Retailer.

For all other moves, the Distributor may initiate a Drop Request to the Retailer for
service at the old location. If the Retailer intends to maintain Consumer enrollment at the
new location, the Retailer must initiate an Enroll STR with the Distributor for the new
location.

Scenario: Move within Distributor Territory
If the Consumer is moving within the service territory, then the Distributor service
representative will initiate action that will result in continuation of service with the same
Retailer at the new address (referred to as a “seamless move”), unless the Consumer
indicates that they wish to return to Standard Supply Service. Time permitting, the
Distributor will notify the Retailer by means of a Change Consumer Location Request
that the seamless move will take place.



                                    TRANSACTION FLOW STR-14:
                                    Change Consumer Location STR

In this scenario, the Consumer notifies the Distributor about the change of location within the
Distributor’s territory. The Retailer accepts the change of location.

              1. Change Consumer Location Request                       1. Change Consumer Location Request
              2. Change Consumer Location Accept                        2. Change Consumer Location Accept
   RETAILER                                                                                                     DISTRIBUTOR
                                                          HUB
              3. Status Advice (NED), if needed                         3. Status Advice (NED), if needed


                                                                                                                   Request
                                                                                                                   Change
                                                                                                                   Location


                                                                                                              CONSUMER


Flow:
Consumer contacts Distributor with a Change Location (Move) request inside the current Distributor‟s
territory.
1. Distributor sends a Change Consumer Location Request to the Retailer after verifying change location
     information with Consumer.
2. Retailer accepts the Change Consumer Location Request by sending the Distributor a Change
     Consumer Location Accept.
3. The Distributor sends a Status Advice (New Effective Date) if the move date changes from the original
     effective date sent in the Drop Request.

Rules: None

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Exceptions: None

Roles and Responsibilities: None



                                      TRANSACTION FLOW STR-15:
                                      Change Consumer Location STR

In this scenario, the Consumer notifies the Retailer about the change of location within the
Distributor’s territory. The Retailer accepts the change of location.


                      1. Status Advice (CCL)                                  1. Status Advice (CCL)
    RETAILER      2. Change Consumer Location Request                     2. Change Consumer Location Request
                                                              HUB
                                                                                                                DISTRIBUTOR
                  3. Change Consumer Location Accept                      3. Change Consumer Location Accept

                  4. Status Advice (NED), if needed                       4. Status Advice (NED), if needed


       Request
       Change
       Location



              CONSUMER




Flow:
Consumer contacts Retailer with a Change Location (Move) request inside the current Distributor‟s
territory.
1. Retailer sends a Status Advice (Change Consumer Location) to the Distributor.
2. Distributor sends a Change Consumer Location Request to Retailer after verifying change location
     information with Consumer.
3. Retailer accepts the Change Consumer Location Request by sending the Distributor a Change
     Consumer Location Accept.
4. The Distributor sends a Status Advice (New Effective Date) if the move date changes.

Rules: None

Exceptions: None

Roles and Responsibilities: None




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                                      TRANSACTION FLOW STR-16:
                                      Change Consumer Location STR
In this scenario, the Consumer notifies the Retailer of the change of location within the Distributor’s
territory and the Retailer rejects the change of location.


                   1. Status Advice (CCL)                                 1. Status Advice (CCL)
 RETAILER      2. Change Consumer Location Request                    2. Change Consumer Location Request
                                                           HUB
                                                                                                            DISTRIBUTOR
               3. Change Consumer Location Reject                     3. Change Consumer Location Reject
                     4. Drop Request, possible                              4. Drop Request, possible

                     5. Drop Accept, possible                               5. Drop Accept, possible



    Request
    Change
    Location


       CONSUMER



Flow:
Consumer contacts Retailer with a Change Location (Move) request inside the current Distributor‟s
territory.
1. Retailer sends a Status Advice (Change Consumer Location) to the Distributor.
2. Distributor sends a Change Consumer Location Request to Retailer after verifying change location
     information with Consumer.
3. Retailer sends a Change Consumer Location Reject. The Consumer will drop to SSS upon the move
     date.
4. Retailer sends a Drop Request if they choose to drop the Consumer before the move date. The Retailer
     will pay for the meter reading to drop before the move.
5. Distributor sends a Drop Accept to the Retailer.

Rules: None

Exceptions: None

Roles and Responsibilities:
Retailer may ask the Consumer to contact the Distributor directly regarding a move.




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Scenario: Move Outside Distributor Territory
If the Consumer is moving outside the Distributor‟s service territory, the Distributor will
arrange to finalize the Consumer‟s account, and notify the Retailer by means of a drop
request.

                                   TRANSACTION FLOW STR-17:
                                   Change Consumer Location STR

In this scenario, the Consumer notifies the Retailer of the change of location outside the Distributor’s
territory.



                         1. Status Advice (CCL)                               1. Status Advice (CCL)
     RETAILER                                                                                              DISTRIBUTOR
                                                            HUB

                              2. Drop Request                                      2. Drop Request

                              3. Drop Accept                                       3. Drop Accept

                     4. Status Advice (NED), if needed                 4. Status Advice (NED), if needed



       Request for
        Change
        Location




        CONSUMER




Flow:
Consumer contacts the Retailer with a request to change location (move) outside of the current
Distributor‟s territory.
1. Retailer sends a Status Advice (Consumer Change Location) to the Distributor notifying them of the
    Consumer‟s request to move.
2. Distributor sends a Drop Request to the Retailer after verifying change location information with the
    Consumer.
3. Retailer sends the Distributor a Drop Accept. The Drop Request in this case (Consumer moving
    outside of the territory) can only be rejected if the validation fails. The Retailer must accept the drop
    and enroll the Consumer with the new Distributor in the new territory.
4. A Status Advice with a new Drop effective date will be sent if the move/drop date changes from the
    original effective date sent in the Drop Request.

Rules: None

Exceptions: None

Roles and Responsibilities: None




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                                     TRANSACTION FLOW STR-18:
                                     Change Consumer Location STR

In this scenario, the Consumer notifies the Distributor of the change of location outside the
Distributor’s territory.



                        1. Drop Request                                     1. Drop Request

RETAILER
                        2. Drop Accept                HUB                2. Drop Accept             DISTRIBUTOR

               3. Status Advice (NED), if needed                3. Status Advice (NED), if needed


                                                                                                    Request for
                                                                                                     Change
                                                                                                     Location




                                                                                                     CONSUMER




Flow:
Consumer contacts the Distributor with a request to change location (move) outside of the current
Distributor‟s territory.
1. Distributor sends a Drop Request to the Retailer after verifying change location information with the
    Consumer.
2. Retailer sends the Distributor a Drop Accept. The Drop Request in this case (Consumer moving
    outside of the territory) can only be rejected if the validation fails. The Retailer must accept the drop
    and enroll the Consumer with the new Distributor in the new territory.
3. A Status Advice with a new Drop effective date will be sent if the move/drop date changes from the
    original effective date sent in the Drop Request.

Rules: None

Exceptions: None

Roles and Responsibilities: None




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5.1.6 STR – Drop

Definition
The drop transaction is the opposite of an enroll transaction. t is used to terminate a
billable enrollment between a Consumer and a current Retailer at the next scheduled
meter read or at a specified meter read.

Flow
Can occur as a result of a Consumer request to the Retailer or the Distributor to drop to
Standard Supply Service; as a result of a request by the Retailer to drop the Consumer; as
the result of a switch (enrollment with a new Retailer); or as a result of a move by the
Consumer outside of the Distributor‟s territory. The drop flows for these scenarios are
STR-17, STR-20, and STR-21 respectively.

Rules
Scenario: Consumer Drops Retailer
If a Consumer desires to drop a Retailer through a means other than enrolling with a new
Retailer, the Consumer may inform the Distributor or the Retailer. If the Consumer
informs the Retailer directly, the Retailer will send a Drop Request transaction to the
Distributor. If the Consumer informs the Distributor directly to drop a Retailer,
competitive service will be terminated on the date of the Consumer‟s next scheduled
meter read unless the Consumer requests a specified read. The Distributor will
automatically move the Consumer to Standard Supply Service based on an actual read
and bill the Consumer the appropriate fee (if specified read). See Transaction Flow STR-
17 for details.

Scenario: Retailer Drops Consumer
The Retailer, after complying with any applicable notification period, notifies the
Distributor to discontinue competitive service for a Consumer. The general rule is that
the termination will be made to coincide with the Consumer‟s normal cycle meter-read
date. If the Retailer desires to drop the Consumer off-cycle, the Distributor will send a
Confirm Drop transaction to the Retailer, indicating the predicted off-cycle drop date.
The Distributor will automatically move the Consumer to Standard Supply Service based
on an actual read, and bill the Retailer the appropriate fee. The Retailer will be sent final
Consumer Usage or Consumer Billing and Usage Information transaction at the time of
billing to allow the completion of the Consumer accounting process. After that date, the
Consumer will automatically receive Standard Supply Service until they enroll with a
new Retailer. See flow STR-20 for details.




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                                    TRANSACTION FLOW STR-19:
                                           Drop STR

In this scenario, the Consumer contacts the Distributor to drop the Retailer and go to Standard
Supply Service.

                              1. Drop Request                                    1. Drop Request

     RETAILER                 2. Drop Accept                                     2. Drop Accept
                                                            HUB
                                                                                                            DISTRIBUTOR
                     3. Status Advice (NED), if needed                  3. Status Advice (NED), if needed



                                                                                                                Request
                                                                                                                Return to
                                                                                                                  SSS




                                                                                                            CONSUMER


Flow:
Consumer notifies Distributor of request to return to Standard Supply Service.
1. Distributor sends Drop Request to Retailer. The Drop Read Date must be scheduled for at least 10
    days out.
2. Retailer sends Drop Accept to Distributor. Retailer can only reject a Drop Request to SSS for invalid
    match criteria.
3. Distributor sends a Status Advice if the effective date is modified from the original effective date in the
    Drop Request.

Rules: None

Exceptions: None

Roles and Responsibilities: None




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                                TRANSACTION FLOW STR-20:
                                       Drop STR

In this scenario, the Retailer requests Drop of the Consumer.

                           1. Drop Request                              1. Drop Request
                                                     HUB
    RETAILER               2. Drop Accept                               2. Drop Accept              DISTRIBUTOR




Flow:
1. Retailer sends Drop Request to Distributor. There is no 10 day waiting period for a drop if it is
    submitted by the Retailer.
2. Distributor sends Drop Accept to Retailer. Distributor can only reject a Drop Request to SSS for
    invalid match criteria.

Rules:
 Retailer may request a specified meter read for the drop. This will be charged to the Retailer.

Exceptions: None

Roles and Responsibilities: None




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                                   TRANSACTION FLOW STR-21:
                                          Drop STR

In this scenario, the Consumer requests Drop to Standard Supply Service by contacting the
Distributor, then cancels the Return to Standard Supply Service.

                            1. Drop Request                                 1. Drop Request

   RETAILER                 2. Drop Accept                                  2. Drop Accept
                                                      HUB
                                                                                                  DISTRIBUTOR
                   3. Status Advice (TXREQ)                        3. Status Advice (TXREQ)
                                OR                                              OR
                   4. Status Advice (TXREQ)                        4. Status Advice (TXREQ)


                                                                                              Request
                                                                                              Return to   Terminate
                                                                                                SSS        Request




                                                                                                CONSUMER



Flow:
Consumer notifies Distributor of request to return to Standard Supply Service.
1. Distributor sends Drop Request to Retailer. The Drop Read Date must be scheduled for at least 10
    days out.
2. Retailer sends Drop Accept to Distributor. Retailer can only reject a Drop Request to SSS for invalid
    match on criteria.
3. Consumer notifies Distributor that they wish to remain with the Retailer. Distributor sends a Status
    Advice (Terminate Transfer Request) advising Retailer of cancellation of the drop.
    OR
    Consumer may also contact the Retailer to cancel the drop to SSS. In this case, the Retailer will send
    the Status Advice (Terminate Transfer Request) to Distributor.

Rules: None

Exceptions: None

Roles and Responsibilities: None




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5.1.7 STR - Status Advice
The purpose of the Status Advice for STRs is to keep the Retailer or Distributor advised
of certain status changes in the processing of an STR. Some examples include:

Notice of a Pending Switch
This notice tells Retailer B that there is already a pending or completed enrollment with
Retailer A. The date of this notice begins the 10-day hold period also known as the
contest period.

Contest Period Over
The Distributor sends this notice to both Retailers when no contest has been made by
Retailer A and the 10-day hold period has expired.

New Effective Date
This may be sent on either a drop, an enrollment, a move, or a meter change request STR
to change the effective date that was originally sent for completion of the STR. This
advises the Retailer of the new expected date of completion.

Additional 10 Days
This is the notice that the Retailer sends to the Distributor to extend the contest period.
The Distributor also sends this to the other Retailer to notify them of the status of the
contest.

Terminate Transfer Request
Retailer B may send this notice when the consumer has informed the Retailer that they
want to cancel the switch request and remain with Retailer A.

Blackout Period
This is used to inform the Retailer that the effective date is changing because the request
was received during the Blackout Period.

The Status Advice contains contact information to be used when the request comes from
the Consumer and may need to be validated by the other party. It also contains contact
information for resolution with specific Account Managers at the Retailer or the
Distributor.

See the section on Status Advice for general details on this EBT and its use in other
processes.




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Blackout Period
The Distributor may require some lead-time to schedule and conduct field and business
activities required to complete an STR. Distributors may establish a blackout period
which provides for a minimum lead-time, up to fifteen business days, required for
completing STRs including Consumer enrollment from SSS, Consumer enrollment from
another Retailer, Consumer drop, or Consumer billing option change. Where a contest
period is required, the lead-time would commence upon resolution of the contest. Where
there is no contest period, the lead-time would commence upon acceptance of the STR by
the Distributor. When a request for next scheduled meter read is within the blackout
period, it will be processed on the first scheduled meter read after the blackout period.

Special meter requests will be accommodated as provided for in the Retail Settlement
Code (RSC), but are not committed to being performed within the lead-time period.
Meter option change requests may require greater lead-time to complete due to site-
specific circumstances.

The three timelines on the following pages show multiple STR scenarios involving
Distributor‟s Blackout Periods. Note that an STR that involves a holding or contest
period, such as a pending switch or a drop to SSS requested by the Consumer, may not
contain a specified meter date less than 10 days out.




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Timeline 1: Standard Supply to Retailer (Basic Enrollment) – Two Scenarios
1. Retailer A submits an Enroll Request requesting an Effective Date of Meter Read 1
   (Special Read, Next Read, or Future Read). In this scenario Retailer A submits the
   Enroll Request 17 days in advance of the requested Meter Read date that is well
   before the Blackout period. In this scenario, the Distributor will send back an Enroll
   Accept Response confirming Meter Read 1. Power would flow to the consumer from
   the effective date of the switch, which is Meter Read 1.
2. If the Distributor receives an Enroll Request from Retailer A requesting Meter Read
   1, within the Blackout period, the Distributor will send back an Enroll Accept
   Response with a New Effective Date of Meter Read 2. Power would flow to the
   consumer from the effective date of the switch, which is Meter Read 2.




                                     Standard Supply to Retailer (Basic Enrollment)
                                       Service Transaction Request Period Time



      1. Enroll Request       1.Enroll Request from
      from Retailer A -       Retailer A
      Meter Read 1            Meter Read 1
      2. Accept Meter         2. Accept Meter Read 2
      Read 1

            1                       2


 19   18     17 16        15 13     12 11 10           9   8   7   6   5   4    3     2   1    Meter                     Meter
                                                                                               Read                      Read
                                                  Working Days                                                            2
                                                                                                1



                                        Maximum STR Blackout Period (15 Days)




                                                                                                 Power Flow to Retailer A if Request Made Prior to
                                                                                                 BlackOut Window


                                                                                                                              Power Flow to Retailer A
                                                                                                                              if Request Made Within
                                                                                                                              BlackOut Window



Notes:                                                                              Legend
-Meter Read 1 could be a
specified Meter Read                                                                  Enrollment Request Received By Distributor
-Requests made within
BlackOut period can be                                                                Meter Read Cycle
delayed to the next billing
cycle                                                                                 Discontinuity of Time




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Timeline 2: Drop to Standard Supply – Consumer Initiated – Two Scenarios
1. Retailer A submits a Drop Request requesting an Effective Date of Meter Read 1. In
   this scenario Retailer A submits the Drop Request 17 days in advance of the
   requested Meter Read date that is well before the Blackout period. In this scenario,
   the Distributor will send back a Drop response confirming Meter Read 1. Power will
   stop flowing to the Retailer effective Meter Read 1; a final bill will be issued to the
   Retailer.
2. If the Distributor receives a Drop Request from Retailer A within the Blackout
   period, the Distributor will send back a Drop Accept Response with a New Effective
   Date of Meter Read 2. Power would stop flowing to the Retailer effective Meter
   Read 2; a final bill will be issued to the Retailer.




                                        Drop to Standard Supply - Consumer Initiated
                                          Service Transaction Request Period Time


        1. Drop Request         1.Drop Request from
        from Retailer A -       Retailer A
        Meter Read 1            Meter Read 1
        2. Accept Meter         2. Send Drop Accept with
        Read 1                  Effective Date Meter
                                Read 2

              1                        2


 19     18     17 16        15 13      12 11 10            9   8    7     6   5   4    3     2   1    Meter                Meter
                                                                                                      Read                 Read
                                                                        Working Days                   1                    2



                                           Maximum STR Blackout Period (15 Days)




Power Flow to Retailer A if Request Made Prior to BlackOut Window




 Power Flow to Retailer A if Request Made Within BlackOut Window




 Notes:                                                                                    Legend
 -Meter Read 1 could be a
 specified Meter Read                                                                        Drop Request Received By Distributor
 -Requests made within
 BlackOut period can be                                                                      Meter Read Cycle
 delayed to the next billing
 cycle                                                                                       Discontinuity of Time




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Timeline 3: Retailer to Retailer Switch – One Scenario
Retailer A submits an Enroll Request requesting an Effective date of Meter Read 1. In
this scenario, Retailer A submits the Enroll Request 17 days in advance of the requested
Meter Read date, which is well before the Blackout period.
 In this scenario, the Distributor will send back an Enroll Accept Response confirming
Meter Read 1 within 5 days of receiving the Enroll Request.
Retailer B submits an Enroll Request for the same consumer requesting an Effective Date
of Meter Read 1.
The Distributor receives the Enroll Request from Retailer B and determines that it is a
Switch.
The Distributor sends back an Enroll Accept Response to Retailer B with an Effective
Date of Meter Read 2 (since the Enroll Request was received within the Blackout period)
for that request. The Distributor also sends both Retailer A and B a Status Advice
notifying them of a Pending Switch for this consumer. The sending of this Status Advice
by the Distributor starts the 10 day Contest Period.
     Possible Outcomes:
 If Retailer B terminates the Enroll Request on behalf of the consumer who may wish
     to stay with Retailer A, the Distributor will have to evaluate which new effective date
     (Meter Read 1 or 2) to provide Retailer A after the Contest Period is over.
 If Retailer A does not contest the Switch and Retailer B wins, the Distributor will
     have to evaluate which new effective date (Meter Read 2 or 3) to provide Retailer B
     after the Contest Period is over.
                                                Retailer to Retailer Switch
                                         Service Transaction Request Period Time

      1. Enroll Request       3.Enroll Request from
      from Retailer A -       Retailer B - Meter Read 1
      Meter Read 1            4.Accept Response with
      2. Accept Meter         Effective Date of Meter
      Read 1                  Read 2
                              5.Send Status Advice-
                              Notice of Pending Switch,
                              start of Contest Period
            1                 3             2                 4,5


 19   18     17 16        15 13      12 11 10             9   8      7    6   5    4    3     2   1    Meter                Meter
                                                                                                       Read                 Read
                                          Working Days                                                  1                    2



                                       Maximum STR Blackout Period (15 Days)



                                                                         Contest Period (10-20 days)




                                                                                            Legend

Notes:                                                                                        Enrollment Accept Received By Retailer
-Meter Read 1 could be a
specified Meter Read                                                                          Enrollment Request Received By Distributor
-Requests made within
BlackOut period can be                                                                        Meter Read Cycle
delayed to the next billing                                                                   Discontinuity of Time
cycle




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5.2 Meter Data Transactions
The Meter Data Transaction (MDT) is the XML document used by the Distributor to
communicate meter-detail information, and consumption and demand data to the Retailer.
There are three MDT schemas (XML formats) defined for use in the Ontario EBT Open
Market. While each MDT contains general consumer account- and summary-level
information, i.e. account number, address information, service-specific information; each
MDT contains specific information for it‟s particular function. The three MDTs are:
     Usage
     Meter Maintenance
     Historical Usage Accept

The following sections describe each MDT in detail.


5.2.1 Usage Transaction

Definition
The Usage Transaction conveys information concerning the usage (multiplied
consumption, and demand) of electricity by the consumer from the Distributor to the
Retailer. This information includes data from both metered services and unmetered
services. Typically the Usage Transaction is used to deliver meter read data to the
Retailer.

Flow
The Distributor generates the Usage Transaction and sends it to the Retailer. The
Retailer responds with an Application Advice Accept or Reject (AA) indicating
acceptance or rejection, at the application level, of the transaction. See flow MDT-1 for
details.

The Usage Transaction “purpose of transaction” option allows the Distributor to:
    Send original transactions
    Send replacement transactions if one or more data errors were discovered after
      transmission
    Send cancel transactions.

General Description of the Data
The Distributor issues a Usage Transaction according to its meter read schedule. The
specific data contained in the transaction depends on the services for the consumer
account. Typically, there are two categories of services related to the Usage Transaction:
metered and unmetered. Usage for unmetered services, e.g. streetlights, traffic lights,
area lights, etc., is reported as kWh and is estimated based on the device-specific
consumption rate and the number of units for the service. Usage for metered services is
reported as kWh, kW, kVA, etc., and is based on actual or estimated meter reads and
demands.


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Response
The Retailer responds to a Usage Transaction with an Application Advice Accept or
Reject (AA) indicating acceptance or rejection of the data.

Rules
The following rules apply to the Usage Transaction:

   The Usage Transaction must be sent to the Retailer before noon of the fourth business
    day after the scheduled meter read date.
   The AA response to the Usage Transaction must be returned back to the Distributor
    no later than two business days after the Retailer receives the Usage Transaction.

Typical Application Codes
Typical application codes that can be returned in the AA response are:

   All OK.
   Metered Service is not found – the Retailer has no record of the metered service that
    was sent in the Usage Transaction.
   Unmetered Service is not found – the Retailer has no record of the unmetered service
    that was sent in the Usage Transaction.


                        TRANSACTION FLOW MTD-1:
                                 Usage

In this scenario, the Distributor performs the meter read according to the scheduled meter
read date for the account.

    RETAILER                                 HUB               1. Usage          DISTRIBUTOR
                           1. Usage



                         2. AA                               2. AA




Flow:
1. Distributor reads the metered service and sends usage to the Retailer no later than noon of the fourth
    business day following the scheduled meter read date.
2. Retailer returns an AA response within two business days.




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5.2.2 Meter Maintenance Transaction

Definition
The Meter Maintenance Transaction conveys general, descriptive information pertaining
to the services for a consumer‟s account, e.g. for metered services, meter type, meter
manufacturer name, meter serial number, etc.; for unmetered services, service type (e.g.
streetlights), number of units, service identification number. This transaction can be
issued as a response to a Meter Information STR from a Retailer, or initiated by the
Distributor to notify the Retailer of a change to a service‟s information, e.g. completion
of a meter service request, meter re-seal. The Retailer should request the meter
information, in conjunction with a request for historical usage, if it hasn‟t been previously
requested. The Meter Maintenance Transaction does not contain usage. See the sections
on Meter Information STRs and Historical Usage Accept Transaction for details.
Typically, the Meter Maintenance Transaction would be issued as part of service startup,
or when a meter has been swapped out.

From time to time a meter at a Consumer location may be replaced by a new one at the
request of the Consumer, or re-sealed as the result of the standard inspection process
required every six years for all meters. The former scenario can be a response to a STR
from the Retailer or initiated by the Distributor. Only the Distributor initiates the re-seal
scenario. The Meter Maintenance Transaction conveys the information on the new or re-
sealed meter to the Retailer.

Flow
The Distributor generates the Meter Maintenance Transaction and sends it to the Retailer.
The Retailer responds with an Application Advice (AA) indicating acceptance or
rejection, at the application level, of the transaction. See flows MDT-2, MDT-3, and
MDT-4 for details.

The Meter Maintenance Transaction “purpose of transaction” option allows the
Distributor to:
    Send original transactions
    Send replacement transactions if one or more data errors were discovered after
       transmission
    Send duplicate transactions

General Description of the Data
The Meter Maintenance Transaction conveys general, descriptive information pertaining
to the services for a consumer‟s account, e.g. for metered services, meter type, meter
manufacturer name, meter serial number, etc.; for unmetered services, service type (e.g.
streetlights), number of units, service identification number.

Response
The Retailer responds to a Meter Maintenance Transaction with an Application Advice
(AA) indicating acceptance or rejection of the data.


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Rules
The following rules apply to the Meter Maintenance Transaction:

   Requests for changes to unmetered services on an account are not handled by the
    EBT. Such changes are handled offline in a process to be agreed to by both the
    Distributor and the Retailer.
   The Meter Maintenance Transaction must be sent to the Retailer before noon of the
    fourth business day .
   The AA response to the Meter Maintenance Transaction must be returned back to the
    Distributor no later than two business days after the Retailer receives the Meter
    Maintenance Transaction.

Typical Application Codes
Typical application codes that can be returned in the AA are:

   All OK.
   Metered Service is not found – the Retailer has no record of the metered service that
    was sent in the Meter Maintenance Transaction.
   Unmetered Service is not found – the Retailer has no record of the unmetered service
    that was sent in the Meter Maintenance Transaction.
   Metered Service is already enrolled – the Retailer already has enrolled the metered
    service that was sent in the Meter Maintenance Transaction. The Retailer is
    expecting a Usage Transaction, but not a Meter Maintenance Transaction.
   Unmetered Service is already enrolled – the Retailer has no record of the unmetered
    service that was sent in the Meter Maintenance Transaction. The Retailer is
    expecting a Usage Transaction, but not a Meter Maintenance Transaction.

                                    TRANSACTION FLOW MTD-2
                                        Meter Maintenance

In this scenario, the Meter Information is requested.

                      1. Meter Info.                       1. Meter Info.
    RETAILER                                   HUB                                DISTRIBUTOR
                          STR                                  STR
                         2. Meter                              2. Meter
                        Maintenance                           Maintenance

                            3. AA                                3. AA




Flow:
1. The Retailer requests meter Information.
2. Distributor sends account services information to the Retailer no later than noon of the fourth business
    day.
3. Retailer returns an AA response within two business days.




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                                 TRANSACTION FLOW MTD-3
                               Meter Maintenance with Status Advice

In this scenario, the requested service was not available within the required timeframe.


    RETAILER                                      HUB                             DISTRIBUTOR
                     1. Meter Info. STR                     1. Meter Info. STR

                           2. SA                                  2. SA

                           3. Meter                               3. Meter
                          Maintenance                            Maintenance
                             4. AA                                  4. AA




Flow:
1. Retailer requests Meter Information.
2. Distributor cannot perform the requested service, so a Status Advice (SA) is sent to the Retailer with
    the new effective date.
3. Distributor performs the metered service and sends the data to Retailer no later than noon of the fourth
    business day.
4. Retailer returns an AA response within two business days.




                             TRANSACTION FLOW MTD-4
                      Meter Maintenance with Historical Usage Accept

In this scenario, the meter information was requested along with historical usage.
    RETAILER         1. Meter Info. STR           HUB       1. Meter Info. STR    DISTRIBUTOR
                    2. Hist. Usage STR                        2. Hist. Usage
                                                                   STR
                            3. Meter                               3. Meter
                          Maintenance                            Maintenance
                          4. Hist.                                4. Hist.
                           Usage                                  Usage
                             5. AA                                   5. AA




Flow:
1. Retailer requests Meter Information.
2. Retailer requests Historical Usage.
3. Distributor sends the Meter Maintenance data to Retailer no later than noon of the fourth business day.
4. Distributor sends the Historical Usage Accept Transaction to Retailer no later than noon of the fourth
    business day.
5. Retailer returns an AA response within two business days of receipt of Meter Maintenance
    Transaction.




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5.2.3 Historical Usage Accept Transaction

Definition
The Historical Usage Accept Transaction conveys the history of a consumer‟s electricity
usage for all services on the account. The Distributor issues this transaction in response
to a Historical Usage Request STR by the Retailer. The Retailer may request up to a
maximum of the previous 24 billing periods for a service; however, if the service does
not have data for the whole period requested, the available data is delivered. Because the
amount of data can be quite large with this transaction, the value for the number of
requested billing periods field in the originating STR defaults to one.

Flow
The Retailer requests the historical usage for an account by sending a Historical Usage
STR to the Distributor. If meter information has not previously been requested, the
Retailer needs to request it as a separate STR at the same time as requesting the initial
usage history. If the originating requests are accepted, the Distributor responds to the
Retailer by sending a Meter Maintenance Transaction and a Historical Usage Accept
Transaction. If the Distributor cannot respond to the request, the Distributor sends a
Status Advice (SA), indicating the new effective date, the code and reason for the non-
response. See Section 5.1.2 Meter Maintenance for responses to a request for meter
information. See flows MDT-5 and MDT-6 for details.

General Description of the Data
The Historical Usage Accept Transaction contains all requested and available usage for
the metered services and unmetered services, if any, on an account.

Response
None

Rules
The following rules apply to the Historical Usage Accept Transaction:

   The request for Historical Usage must be accompanied by the request for Meter
    Information, if not previously requested, for the same account. See the section on
    Meter Maintenance Transaction for details on the response to the request for Meter
    Information.
   The Historical Usage Accept Transaction must be sent back to the Retailer within five
    business days after the Distributor receives the STR request.

Typical Error Codes
The Historical Usage Reject STR handles all errors. See the Section on STRs for details.




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                       TRANSACTION FLOW MTD-5:
              Response to Historical Usage and Meter Information Requests

In this scenario, the historical usage is available.
   RETAILER           1. STR Historical          HUB        1. STR Historical    DISTRIBUTOR
                           Usage                                 Usage
                     2. Meter Info. STR                     2. Meter Info. STR
                             3. Meter                              3. Meter
                           Maintenance                           Maintenance
                          4. HISTORY                             4. HISTORY
                          5. AA                                 5. AA




Flow:
1. Retailer submits a request for the Historical Usage.
2. Retailer submits a request for Meter Information.
3. Distributor gathers data and sends Meter Maintenance Transaction to the Retailer within five business
    days following receipt of the request.




                         TRANSACTION FLOW MTD-6:
 Response to Historical Usage and Meter Information Requests with Status Advice

In this scenario, the historical usage is not immediately available.
   RETAILER           1. STR Historical          HUB        1. STR Historical    DISTRIBUTOR
                           Usage                                 Usage
                     2. Meter Info. STR                     2. Meter Info. STR
                             3. Meter                              3. Meter
                           Maintenance                           Maintenance
                               4. SA                                 4. SA
                          5. HISTORY                             5. HISTORY
                          6. AA                                  6. AA
                          7. AA                                 7. AA

Flow:
1. Retailer submits a request for the Historical Usage.
2. Retailer submits a request for Meter Information.
3. Distributor gathers data and sends Meter Maintenance Transaction to the Retailer within five business
    days following receipt of the request.
4. Distributor cannot send Historical Usage data, so sends a Status Advice (SA) with new effective date.
5. Distributor gathers data and sends Historical Usage Accept Transaction to the Retailer within five
    business days.
6. The Retailer responds with an AA within two business days of receipt of Meter Maintenance
    Transaction.
7. The Retailer responds with an AA within two business days of receipt of Historical Usage Accept
    Transaction.




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5.3 Invoice Transactions
There are five types of Consumer Billing Options that are specified in the Retail
Settlement Code:

   Split Billing
   Distributor Consolidated Billing – Bill Ready
   Distributor Consolidated Billing – Rate Ready
   Retailer Consolidated Billing - Bill Ready
   Retailer Consolidated Billing – Rate Ready

The Consumer and Retailer will determine the selection of a billing option. The Retailer
will then notify the Distributor of the desired billing option. The OEB has recommended
that Distributor Consolidated “bill ready” option be offered as a mandatory service upon
request by a Retailer. A Distributor may provide “rate ready” billing as an optional
service and, upon request from a Retailer, shall make a good faith effort to provide “rate
ready” billing.


There are two types of Trading Partner Invoices that are specified in the Retail Settlement
Code:
 Settlement Invoice
    Total
    Detail
 Market Participant Invoice


5.3.1 Invoice – Split Billing

Definition/purpose
The Distributor and Retailer both bill the Consumer for their portion of the Invoice. The
Consumer receives two Invoices in this billing scenario. This billing option is the
simplest in terms of coordination, process steps and data exchange requirements between
the Retailer and Distributor. The Split Bill requires the exchange of Consumer meter
data from the Distributor to the Retailer via a Usage MDT. Refer to the Meter Data
Transaction sections of this document for details on the Usage MDT.

Flow
The Distributor sends the Usage MDT to the Retailer no later than noon of the 4th
business day from the scheduled meter read date. The Consumer will receive two bill
statements, one from the Retailer for their portion of the service being provided to the
Consumer and one from the Distributor for their portion of the service being provided to
the Consumer. See flow INV-1 for details.




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Billing of Taxes
The billing parties will be responsible for the collection and remittance of all taxes to the
government.
                          TRANSACTION FLOW INV-1:
                                 Split Billing Option


                             1. Usage                                      1. Usage
    RETAILER                 2. Cancel Usage             HUB               2. Cancel Usage
                                                                                                        DISTRIBUTOR
                          3. Corrected Usage                             3. Corrected Usage




          Retailer Invoice for Consumer                CONSUMER              Distributor Invoice for Consumer


***Application Advice Accept or Reject must be sent on all above transactions to indicate an accept
or reject of the transaction.

Flow:
1. Distributor sends Usage MDT to Retailer no later than noon of the 4 th business day after the scheduled
    meter read date. The Consumer will receive two bill statements – one from the Retailer for the electric
    usage commodity and other services and one from the Distributor for all other non-competitive
    charges.
2. (Conditional) Distributor sends cancelled Usage to Retailer.
3. (Conditional – Only if Step 2 occurs) Distributor sends corrected Usage to Retailer.

5.3.2 Invoice – Distributor Bill Ready

Definition/purpose
This bill option is the mandatory bill option that the OEB has chosen. The Retailer sends
this transaction to the Distributor. This transaction is used when the Retailer calculates
their own charges and the charges print on a Distributor‟s consolidated bill. The
Distributor then sends the complete bill to the Consumer.

Flow
Usage is sent from the Distributor to the Retailer no later than noon of the 4th business
day from the scheduled meter read date. The Retailer then calculates the commodity
charges based on the contract with the Consumer. The Retailer submits to the Distributor
the line item charge(s) to be put on the Consumer‟s bill no later than two business days
after the Usage transaction has been sent. See flow INV-2 for details.

In the event of a cancel/rebill scenario:

    The Distributor initiates a cancel usage transaction to the Retailer.
    The Retailer cancels the original Invoice to the Distributor.
    The Distributor sends the corrected usage to the Retailer.
    The Retailer issues the corrected Invoice to the Distributor (see Cancel/Rebill at the
     end of the Invoices section for more details).

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Response
Once the Distributor receives the Invoice transaction, they send an Application Advice
Accept or Reject back to the Retailer stating that the data was either accepted or rejected.
This Application Advice Accept or Reject is sent no later than two business days after the
receipt of the Invoice transaction from the Retailer.

Rules
There is only one Consumer to one Invoice transaction.

Billing of Taxes
The billing party will be responsible for the collection and remittance of all taxes to the
government.




                                TRANSACTION FLOW INV-2:
                              Distributor Bill Ready Billing Option


                             1. Usage                                              1. Usage
                      2. Invoice – line items                              2. Invoice - line items
                             3. Cancel Usage              HUB                      3. Cancel Usage
   RETAILER                                                                                               DISTRIBUTOR
                   4. Cancel – Invoice – line items                   4. Cancel – Invoice – line items
                           5. Corrected Usage                                   5. Corrected Usage
                 6. Corrected – Invoice – line items                6. Corrected – Invoice – line items



***Application Advice Accept or Reject must be sent on all above transactions to indicate an accept
or reject of the transaction.

Flow:
1. Usage is sent from the Distributor to the Retailer no later than noon of the 4 th business day after the
    scheduled meter read date.
2. The Retailer calculates the commodity charges based on the contract with the Consumer. The Retailer
    then submits to the Distributor the line item charge(s) to be put on the Consumer‟s bill no later than 2
    business days after the Usage Transaction has been sent.
3. (Conditional) Distributor sends cancelled Usage to Retailer.
4. (Conditional) Retailer cancels original Invoice to Distributor.
5. (Conditional – Only if Step 3 occurs) Distributor sends corrected Usage to Retailer.
6. (Conditional – Only if Step 4 occurs) Retailer sends corrected Invoice to Distributor.



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The Distributor then sends the Consumer a consolidated bill with both Retailer and Distributor charges on
it, by regular mail.




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5.3.3 Invoice – Distributor Rate Ready

Definition/purpose
The OEB has stated that this bill option is optional and that the Distributor shall make a
good faith effort to provide this option. This transaction is used when the Distributor
calculates the Retailer charges based on the rates provided by the Retailer. The
Consumer receives one bill from the Distributor with both the Distributor and Retailer
charges on their bill.

Flow
Usage is sent from the Distributor to the Retailer no later than noon of the 4th business
day from the scheduled meter read date. The Distributor then calculates the Retailer‟s
commodity for the bill and sends the line items to the Retailer no later than 12 business
days after the usage transaction is sent.

For usage errors, the Distributor initiates a cancel usage transaction to the Retailer. The
Distributor then cancels the original Invoice to the Retailer. The Distributor sends the
corrected usage to the Retailer. The Distributor then issues the corrected Invoice to
Retailer (see Cancel/Rebill at the end of the Invoices section for more details). See flow
INV-3 for details.

Response
Once the Retailer receives this transaction, they send an Application Advice Accept or
Reject back to the Distributor stating that it was either accepted or rejected. This
Application Advice Accept or Reject is sent no later than two business days after the
receipt of the Invoice transaction from the Distributor.

Rules
There is only one Consumer to one Invoice transaction.

Billing of Taxes
The billing party will be responsible for the collection and remittance of all taxes to the
government.




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                                TRANSACTION FLOW INV-3:
                            Distributor Rate Ready Billing Option

                          1. Usage                                     1. Usage
                          2. Invoice                                   2. Invoice
                          3. Cancel Usage         HUB                  3. Cancel Usage
   RETAILER                                                                                 DISTRIBUTOR
                          4. Cancel Invoice                            4. Cancel Invoice
                        5. Corrected Usage                           5. Corrected Usage
                        6. Corrected Invoice                         6. Corrected Invoice



***Application Advice Accept or Reject must be sent on all above transactions to indicate an accept
or reject of the transaction.

Flow:
1. Usage is sent from the Distributor to the Retailer no later than noon of the 4 th business day after the
    scheduled meter read date.
2. (Optional – If the Market Participants agree that line items are necessary) The Distributor calculates
    the Retailer‟s commodity for the bill and sends the line items to the Retailer no later than 12 business
    days after the Usage Transaction is sent.
3. (Conditional) Distributor sends cancelled Usage to Retailer.
4. (Conditional) Distributor cancels original Invoice.
5. (Conditional – Only if Step 3 occurs) Distributor sends corrected Usage to Retailer.
6. (Conditional – Only if Step 4 occurs) Distributor sends the corrected Invoice to Retailer.

The Distributor then sends the Consumer a consolidated bill with both Retailer and Distributor charges on
it, by regular mail.




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5.3.4 Invoice – Retailer Bill Ready

Definition/purpose
The Distributor sends this transaction to the Retailer. This transaction is used when the
Distributor calculates their own charges and the charges print on a Retailer‟s consolidated
bill. The Retailer then sends the complete bill to the Consumer.

Flow
Usage is sent from the Distributor to the Retailer no later than noon of the 4th business
day from the scheduled meter read date. The Distributor then calculates the non-
competitive service charges, which will be sent to the Retailer no later than twelve
business days after the Usage Transaction is sent.

For Cancel/Rebill scenarios, the Distributor sends the cancelled usage transactions to the
Retailer. The Distributor then sends the cancelled Invoice to the Retailer. The Distributor
sends the corrected usage transaction to the Retailer. The Distributor then sends the
corrected Invoice to Retailer (see Cancel/Rebill at the end of the Invoices section for
more details). See flow INV-4 for details.

Response
Once the Retailer receives this transaction, they send an Application Advice Accept or
Reject back to the Distributor stating that it was either accepted or rejected. This
Application Advice Accept or Reject is sent no later than two business days after the
receipt of the Invoice transaction from the Distributor.

Rules
There is only one Consumer to one Invoice transaction.

Billing of Taxes
The billing party will be responsible for the collection and remittance of all taxes to the
government.




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                                   TRANSACTION FLOW INV-4:
                                  Retailer Bill Ready Billing Option

                            1. Usage                                       1. Usage
                   2. Non-competitive Invoice                     2. Non-competitive Invoice
                          3. Cancel Usage             HUB             3. Cancel Usage
   RETAILER                                                                                     DISTRIBUTOR
                          4. Cancel Invoice                           4. Cancel Invoice
                          5. Corrected Usage                             5. Corrected Usage
                          6. Corrected Invoice                           6. Corrected Invoice



***Application Advice Accept or Reject must be sent on all above transactions to indicate an accept
or reject of the transaction.

Flow:
1. Usage is sent from the Distributor to the Retailer no later than noon of the 4 th business day after the
    scheduled meter read date.
2. Distributor calculates the non-competitive service charges (e.g. T&D, admin., IMO service, etc.) and
    will send them to the Retailer no later than 12 business days after the Usage Transaction is sent.
3. (Conditional) Distributor sends cancelled Usage to Retailer.
4. (Conditional) Distributor sends cancelled Invoice to Retailer.
5. (Conditional – Only if Step 3 occurs) Distributor sends corrected Usage to Retailer.
6. (Conditional – Only if Step 4 occurs) Distributor sends corrected Invoice to Retailer.




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5.3.5 Invoice – Retailer Rate Ready

Definition/purpose
The Retailer sends this transaction to the Distributor. This transaction is used when the
Retailer calculates the Distributor charges, based on the rates provided by the Distributor
to the Retailer. The Retailer then sends the complete bill to the Consumer.

Flow
The usage transaction is sent from the Distributor to the Retailer no later than noon of the
4th business day from the scheduled meter read date. The Retailer then calculates the
Distributor‟s line items for the bill and sends the line items to the Distributor no later than
two business days after the usage transaction is sent. For Cancel/Rebill scenarios, the
Distributor sends the cancel usage transaction to the Retailer. The Retailer then cancels
the original Invoice to the Distributor. The Distributor sends the corrected usage
transaction to the Retailer. The Retailer then issues the corrected Invoice to Distributor
(see Cancel/Rebill at the end of the Invoices section for more details). See flow INV-5
for details.

Response
Once the Distributor receives this transaction, they send an Application Advice Accept or
Reject back to the Retailer stating that it was either accepted or rejected. This
Application Advice Accept or Reject is sent no later than two business days after the
receipt of the Invoice transaction from the Distributor.

Rules
This transaction is a one to one transaction. This means that there is only one Consumer
to one Invoice transaction.

Billing of Taxes
The billing party will be responsible for the collection and remittance of all taxes to the
government.




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                              TRANSACTION FLOW INV-5:
                             Retailer Rate Ready Billing Option

                           1. Usage                                    1. Usage
                           2. Invoice                                  2. Invoice
                           3. Cancel Usage         HUB                 3. Cancel Usage
   RETAILER                                                                                 DISTRIBUTOR
                           4. Cancel Invoice                           4. Cancel Invoice
                         5. Corrected Usage                          5. Corrected Usage
                         6. Corrected Invoice                        6. Corrected Invoice




***Application Advice Accept or Reject must be sent on all above transactions to indicate an accept
or reject of the transaction.

Flow:
1. Usage is sent from the Distributor to the Retailer no later than noon of the 4 th business day after the
    scheduled meter read date.
2. The Retailer calculates the Distributor‟s line items for the bill and sends the line items to the
    Distributor no later than 2 business days after the Usage Transaction is sent.
3. (Conditional) Distributor sends cancelled Usage to Retailer.
4. (Conditional) Retailer sends a cancel original Invoice.
5. (Conditional – Only if Step 3 occurs) Distributor sends corrected Usage to Retailer.
6. (Conditional – Only if Step 4 occurs) Retailer sends corrected Invoice to Distributor.

The Retailer then sends the Consumer a consolidated bill with both Retailer and Distributor charges on it,
by regular mail.

5.3.6 Invoice – Settlement

Definition/purpose
This transaction is sent from the Distributor to the Retailer. This is an Invoice that is sent
between two Trading Partners that can be sent in two different transactions:

         “Settlement Total” transaction includes summary information based on all
         Consumers billing cycle. If detail is needed on an individual Consumer level by
         billing cycle, then you will send the “Settlement Detail” transaction. This is a
         mandatory transaction.

         “Settlement Detail” transaction contains only one Consumer per transaction. This
         is sent if individual information is needed on an individual Consumer level. This
         transaction is optional. If it is used, it has a Settlement cross reference number
         back to the “Settlement Total” transaction for the Retailer to match up.

This Invoice is used for the settlement between the Distributor and Retailer based on
market price. This transaction is based on a Consumer‟s bill cycle. This means that after
each day‟s Distributor bill cycle, the “Settlement Total” Invoice is generated and sent to
the Retailer for all Consumers in this bill cycle. Once again, if detailed information is


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needed by each Consumer within the bill cycle, you will use the Settlement Detail
transaction in conjunction with the “Settlement Total” transaction.

Flow
This transaction is always sent from the Distributor to the Retailer. It is sent no later than
12 business days from the scheduled meter read date of the Consumer‟s cycle. If this
transaction is disputed, the Application Advice Accept or Reject will be generated to
reject the transaction. It will then be handled outside of the EBT system.

If a reissue of the Settlement Invoice is needed, a new Settlement Invoice will be
generated referencing the original settlement Invoice number along with the original
sequence number of the Invoice that is being cancelled (see Cancel/Rebill at the end of
the Invoices section for more details). See flows INV-6, INV-7, INV-8, INV-9, and INV-
10 for details.

Response
Once the Retailer receives this transaction, they send an Application Advice Accept or
Reject back to the Distributor stating that it was either accepted or rejected. This
Application Advice Accept or Reject is sent no later than two business days after the
receipt of the Invoice transaction from the Distributor.

Rules
The “Settlement Total” transaction is mandatory. The “Settlement Detail” transaction is
optional and contains only one Consumer per transaction. This transaction is sent based
on a Consumer billing cycle.

Billing of Taxes
The billing party will be responsible for the collection and remittance of all taxes to the
government.

                              TRANSACTION FLOW INV-6:
                             Retailer Bill Ready Settlement Invoice


                      1. Settlement Invoice          HUB              1. Settlement Invoice
    RETAILER
                    2. Cancel/Rebill Invoice                        2. Cancel/Rebill Invoice   DISTRIBUTOR



***Application Advice must be sent on all above transactions to indicate an accept or reject of the
transaction.

Flow:
1. The Settlement Invoice (Total and/or Detail) is sent no later than 12 business days from the scheduled
    meter read date of Consumer cycle (in order to receive IMO preliminary data). This is what the
    Distributor would bill the Consumer at spot price (NSLS).
2. If this transaction is disputed, the Application Advice will be generated. It will then be handled
    outside of the EBT system. If a reissue of the Settlement Invoice (Total and/or Detail) is needed, a



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    new Settlement Invoice (Total and/or Detail) will be generated referencing the original, along with the
    original sequence number of the Settlement Invoice (Total and/or Detail) that is being cancelled.



                                  TRANSACTION FLOW INV-7:
                               Retailer Rate Ready Settlement Invoice

                      1. Settlement Invoice          HUB              1. Settlement Invoice
     RETAILER
                    2. Cancel/Rebill Invoice                        2. Cancel/Rebill Invoice   DISTRIBUTOR




***Application Advice must be sent on all above transactions to indicate an accept or reject of the
transaction.

Flow:
1. The Settlement Invoice (Total and/or Detail) is sent no later than 12 business days from the scheduled
    meter read date of Consumer cycle (in order to receive IMO preliminary data). This is what the
    Distributor would bill the Consumer at spot price (NSLS).
2. If this transaction is disputed, the Application Advice will be generated. It will then be handled
    outside of the EBT system. If a reissue of the Settlement Invoice (Total and/or Detail) is needed, a
    new Settlement Invoice (Total and/or Detail) will be generated referencing the original, along with the
    original sequence number of the Settlement Invoice (Total and/or Detail) that is being cancelled.


                             TRANSACTION FLOW INV-8:
                        Distributor Bill Ready Settlement Invoice

                      1. Settlement Invoice          HUB              1. Settlement Invoice
     RETAILER
                    2. Cancel/Rebill Invoice                        2. Cancel/Rebill Invoice   DISTRIBUTOR



***Application Advice must be sent on all above transactions to indicate an accept or reject of the
transaction.

Flow:
1. The Settlement Invoice (Total and/or Detail) is sent no later than 12 business days from the scheduled
    meter read date of Consumer cycle (in order to receive IMO preliminary daily statement). It is the
    difference between what the Distributor billed to the Retailer at spot price, and what the Retailer
    actually billed the Consumer based on their contract. An example of this is a spot price charge of
    seven cents to the Retailer and nine cents to the Consumer (or vice versa), based on their contract with
    the Retailer.
2. If this transaction is disputed, the Application Advice will be generated. It will then be handled
    outside of the EBT system. If a reissue of the Settlement Invoice (Total and/or Detail) is needed, a
    new Settlement Invoice (Total and/or Detail) will be generated referencing the original, along with the
    original sequence number of the Settlement Invoice (Total and/or Detail) that is being cancelled.




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                                  TRANSACTION FLOW INV-9:
                           Distributor Rate Ready Settlement Invoice


                        1. Settlement Invoice            HUB              1. Settlement Invoice
     RETAILER
                     2. Cancel/Rebill Invoice                           2. Cancel/Rebill Invoice    DISTRIBUTOR



***Application Advice must be sent on all above transactions to indicate an accept or reject of the
transaction.

Flow:
1. The Settlement Invoice (Total and/or Detail) is sent no later than 12 business days from the scheduled
    meter read date of Consumer cycle (in order to receive IMO preliminary daily statement). It is the
    difference between what the Distributor billed to the Retailer at spot price and what the Retailer
    actually billed the Consumer based on their contract. An example of this is a spot price charge of
    seven cents to the Retailer and nine cents to the Consumer (or vice versa), based on their contract with
    the Retailer.
2. If this transaction is disputed, the Application Advice will be generated. It will then be handled
    outside of the EBT system. If a reissue of the Settlement Invoice (Total and/or Detail) is needed, a
    new Settlement Invoice (Total and/or Detail) will be generated referencing the original, along with the
    original sequence number of the Settlement Invoice (Total and/or Detail) that is being cancelled.


                                TRANSACTION FLOW INV-10:
                                Split Billing Settlement Invoice


                     1. Settlement Invoice              HUB             1. Settlement Invoice
   RETAILER
                   2. Cancel/Rebill Invoice                         2. Cancel/Rebill Invoice       DISTRIBUTOR



***Application Advice must be sent on all above transactions to indicate an accept or reject of the
transaction.

Flow:
1. Distributor sends Settlement Invoice (Total and/or Detail) to Retailer. This will occur no later than 12
    business days from the scheduled meter read date of Consumer cycle (in order to receive IMO
    preliminary daily statement). This is the amount of energy used by the Retailer‟s Consumers at the
    spot price, plus other relevant costs.
2. If this transaction is disputed, the Application Advice will be generated to dispute the transaction. It
    will then be handled outside of the EBT system. If a reissue of the Settlement Invoice (Total and/or
    Detail) is needed, a new Settlement Invoice (Total and/or Detail) will be generated referencing the
    original, along with the original sequence number of the Settlement Invoice (Total and/or Detail) that
    is being cancelled.




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5.3.7 Invoice – Market Participant

Definition/purpose
This is an optional transaction that is sent through the EBT system between the Market
Participants (a/k/a Trading Partners). A Market Participant sends an invoice to another
Market Participant which represents the administration charges and other fees (e.g.,
enrollment fees, meter reads, collection charges, billing services, etc.). The Market
Participant Invoice schedule will be determined between the trading partners, and is
defined in the Trading Partner Service Agreement.

Flow
The Market Participant sends an Invoice to another Market Participant which represents
the administration charges and other fees (e.g., enrollment fees, meter reads, collection
charges, billing services, etc.). The days for which the Invoice will be calculated, as well
as when the Invoice will be submitted, are determined in the trading partner‟s service
agreement. For Cancel/Rebill scenarios, Market Participant A sends a cancelled Invoice
to another Market Participant, identified as Market Participant B. Market Participant A
then sends the corrected Invoice to Market Participant B. (see Cancel/Rebill at the end of
the Invoices section for more details). See INV-11 for more details.

Response
Once Market Participant B receives this transaction, they send an Application Advice
back to Market Participant A stating that it was either accepted or rejected. This
Application Advice is sent no later than two business days after the receipt of the Invoice
transaction from Market Participant A.

Rules
This transaction is a one to one relationship. This means that there will be only one
Invoice for all charges sent between Market Participants.

Billing of Taxes
The billing party will be responsible for the collection and remittance of all taxes to the
government.




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                                    TRANSACTION FLOW INV-11:
                                      Market Participant Invoice


                 1. Market Participant Invoice                  1. Market Participant Invoice
   RETAILER        2. Cancel Invoice                  HUB         2. Cancel Invoice
                                                                                                DISTRIBUTOR
                   3. Corrected Invoice                           3. Corrected Invoice



***Application Advice must be sent on all above transactions to indicate an accept or reject of the
transaction.

Flow:
1. Market Participant sends Invoice to other Market Participant that represents the admin. charges and the
    other fees (e.g. enrollment fees, meter reads, collection charges, billing services, etc.). The invoice
    will be calculated and submitted based on the number of days stipulated in the service agreement
    between the trading parties.
2. (Conditional) Market Participant sends Cancelled Invoice to other Market Participant.
3. (Conditional – Only if Step 2 occurs) Market Participant sends Corrected Invoice to other Market
    Participant.




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Cancel/Rebill Procedures

The Retail Settlement Code dated 2/28/00 uses the following statements with respect to
Billing Errors -- Adjustments:

   Adjustments for Invoices that are over billed can be credited to the Retailer/Consumer
    within up to a six-year time period as long as Measurement Canada has not become
    involved. The adjustment will also contain an interest amount as well as the
    adjustment amount. This adjustment will be performed by sending an Invoice
    transaction with a code for adjustment.
   Adjustments for Invoices that are under billed can be debited back to the
    Retailer/Consumer within up to a two-year time period as long as Measurement
    Canada has not become involved. This adjustment will be done by sending an
    Invoice transaction with a code for adjustment.


Cancel/Rebill Procedure – DISTRIBUTOR Consolidated Billing Option – Bill Ready

1. (Conditional) Distributor Cancels Meter Readings: Distributor will forward one
   Usage Cancel transaction for each billing period being cancelled to the current
   Retailer. Usage Cancellation transactions older than 12 months and/or cancellations
   involving prior Retailers shall be communicated by a method other than EBT.

2. Retailer Cancels Charges related to Cancelled Meter Readings: The current Retailer
   shall cancel their charges by forwarding an EBT Invoice Cancel transaction for each
   original Invoice transaction sent. The Distributor will reject Invoice Cancel
   transactions from all previous Retailers.

3. (Conditional) Distributor Sends Corrected Meter Readings: Distributor will forward
   one new Usage transaction to the current Retailer for the applicable period of time.
   Corrected usage data older than 12 months and/or corrected usage involving prior
   Retailers shall be communicated by a method other than EBT.

4. Bill Ready Bill Data: Within two (2) business days of Step 3, the current Retailer
   shall forward to the Distributor one Billing transaction for each Usage transaction.
   Any Invoice transactions received after the two-day window will be rejected by the
   Distributor using the Application Advice transaction. When the Invoice is rejected,
   the Retailer will be required to send multiple Invoice transactions the following
   month, one for the rejected Invoice and one for the current month‟s charges.
   Additionally, Invoice transactions received from all previous Retailers will be
   rejected.




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Cancel/Rebill Procedure – DISTRIBUTOR Consolidated Billing Option – Rate Ready

1. (Conditional) Distributor Cancels Meter Readings: Distributor will forward one
   Usage Cancel transaction for each billing period being cancelled to the current
   Retailer. Usage Cancellation transactions older than 12 months and/or cancellations
   involving prior Retailers shall be communicated by a method other than EBT.

2. (Conditional) Distributor Cancels Charges related to Cancelled Meter Readings:
   Distributor will forward one Invoice Cancel transaction for each billing period being
   cancelled to the current Retailer. Invoice Cancellation transactions older than 12
   months shall be communicated by a method other than EBT. Distributor will NOT
   send Invoice Cancel transactions to prior Retailers.

3. (Conditional) Distributor Sends Corrected Meter Readings: Distributor will forward
   one new Usage transaction to the current Retailer for the applicable period of time.
   Corrected usage data older than 12 months and/or corrected usage involving prior
   Retailers shall be communicated by a method other than EBT.

4. Distributor Sends Corrected Charges: Distributor will forward one new Invoice
    transaction to the current Retailer for the applicable period of time. Corrected
    charges older than 12 months shall be communicated by a method other than EBT.

Cancel/Rebill Procedure – RETAILER Consolidated Billing Option – Bill Ready

1. (Conditional) Distributor Cancels Meter Readings: Distributor will forward one
   Usage Cancel transaction for each billing period being cancelled to the current
   Retailer. Usage Cancellation transactions older than 12 months and/or cancellations
   involving prior Retailers shall be communicated by a method other than EBT.

2. Distributor Cancels Charges related to Cancelled Meter Readings: The current
   Distributor shall cancel their charges by forwarding an EBT Invoice Cancel
   transaction for each original Invoice transaction sent. The Retailer will reject Invoice
   Cancel transactions from all previous Distributors.

3. (Conditional) Distributor Sends Corrected Meter Readings: Distributor will forward
   one new Usage transaction to the current Retailer for the applicable period of time.
   Corrected usage data older than 12 months and/or corrected usage involving prior
   Retailers shall be communicated by a method other than EBT.

4. Bill Ready Bill Data: Within two (2) business days of Step 3, the current Distributor
   shall forward to the Retailer one Billing transaction for each Usage transaction. Any
   Invoice transactions received after the two-day window will be rejected by the
   Retailer using the Application Advice transaction. When the Invoice is rejected, the


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    Distributor will be required to send multiple Invoice transactions the following
    month, one for the rejected Invoice and one for the current month‟s charges.
    Additionally, Invoice transactions received from all previous Distributors will be
    rejected.

Cancel/Rebill Procedure – RETAILER Consolidated Billing Option – Rate Ready

1. (Conditional) Distributor Cancels Meter Readings: Distributor will forward one
   Usage Cancel transaction for each billing period being cancelled to the current
   Retailer. Usage Cancellation transactions older than 12 months and/or cancellations
   involving prior Retailers shall be communicated by a method other than EBT.

2. (Conditional) Retailer Cancels Charges related to Cancelled Meter Readings: Retailer
   will forward one Invoice Cancel transaction for each billing period being cancelled to
   the current Distributor. Invoice Cancellation transactions older than 12 months shall
   be communicated by a method other than EBT. Retailer will NOT send Invoice
   Cancel transactions to prior Distributors.

3. (Conditional) Distributor Sends Corrected Meter Readings: Distributor will forward
   one new Usage transaction to the current Retailer for the applicable period of time.
   Corrected usage data older than 12 months and/or corrected usage involving prior
   Retailers shall be communicated by a method other than EBT.

4. Retailer Sends Corrected Charges: Retailer will forward one new Invoice transaction
   to the current Distributor for the applicable period of time. Corrected charges older
   than 12 months shall be communicated by a method other than EBT.


Cancel/Rebill Procedure – Settlement Invoice

1. (Conditional) Distributor Cancels Settlement Invoice: Distributor will forward one
   Settlement Invoice Cancel transaction for each billing period being cancelled to the
   current Retailer. Invoice Cancel transactions older than 12 months shall be
   communicated by a method other than EBT. Distributor will NOT send Invoice
   Cancel transactions to prior Retailers.

2. Distributor Rebills Settlement Invoice: Distributor will forward one new Settlement
   Invoice transaction to the current Retailer for the applicable period of time. Corrected
   Settlement Invoice data older than 12 months and/or corrected Settlement Invoice
   involving prior Retailers shall be communicated by a method other than EBT.




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Cancel/Rebill Procedure – Market Participant Invoice

1. (Conditional) Distributor/Retailer Cancels Invoice: Distributor/Retailer will forward
   one Invoice Cancel transaction for each Invoice affected to the Distributor/Retailer.
   Invoice Cancel transactions older than 12 months shall be communicated by a method
   other than EBT. Distributor/Retailer will NOT send Invoice cancel transactions to
   Distributor/Retailers without a valid service agreement.

2. Distributor/Retailer Rebills Invoice: Distributor/Retailer will forward one new
    Invoice transaction to the Distributor/Retailer for the applicable period of time.
    Corrected Invoice data older than 12 months shall be communicated by a method
    other than EBT.


Cancel/Rebill Procedure -- Over Bill Option Changes
Any cancel/rebill that pertains to a prior billing option change will be done outside the
EBT system.


Cancel/Rebill Procedure -- Prior Retailers and Distributors
Any cancel/rebill that pertains to a prior Market Participant will be done outside the EBT
system.

Correction of Taxes
The billing party will be responsible for the correction and settlement of all taxes to the
government.




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5.4 Payment Advice
The sections below define the definition/purpose, flow, response, and business rules
around implementing any type of Payment Advice. The types of Payment Advice
transactions that are specified in the Retail Settlements Code:

       Distributor Consolidated Billing
                 Bill Ready
                 Rate Ready
       Retailer Consolidated Billing
                 Bill Ready
                 Rate Ready
       Settlement Invoice
       Market Participant Invoice

The above Payment Advice‟s can be sent in the following manner with the exception of
the Market Participant Invoice. The Market Participant Invoice will be the “Payment
Advice Total” transaction only.

        “Payment Advice Total” transaction includes just the summarized total that is to
        be paid by the Trading Partner for a giving Consumers billing cycle.

        “Payment Advice Detail” transaction contains only one Consumer per transaction.
        This is sent if individual information is needed on an individual Consumer level.
        If it is used, it has a Payment cross reference number back to the “Payment
        Advice Total” transaction for the Trading Partner to match up.


5.4.1 Payment Advice –Distributor Consolidated Billing

Definition/purpose
This is a transaction to let the Retailer know when and how to expect their payment on
their Consumer‟s portion of an Invoice. A Distributor shall pay relevant amounts to a
Retailer on the same date that payment is due to the Distributor from a Consumer.

Flow
On the due date of payment, the Distributor forwards the Payment Advice to the Retailer.
The actual payment will be sent according to the Payment Advice. The options are
“Direct Deposit”, “Wire Transfer”, and “Cheque”. See flow PA-1 for details.

Response
Once the Retailer receives this transaction, they send an Application Advice back to the
Distributor stating that it was either accepted or rejected. This Application Advice is sent
no later than two business days after the receipt of the Payment Advice transaction from
the Distributor.


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Rules
Payments are made based on the amount and due date of the Consumer's bill. The
Distributor will remit to the Retailer the full amount of the Retailer‟s bill, regardless of
whether the Consumer pays the Distributor or not. This remittance is for commodity
charges only.

                                TRANSACTION FLOW PA-1:
                         Distributor Consolidated Payment Advice
                                “Bill and Rate Ready” Options




    RETAILER                                           HUB                                        DISTRIBUTOR
                   1. Payment Advice                              1. Payment Advice




***Application Advice must be sent on all above transactions to indicate an accept or reject of the
transaction.

Flow:
1. On due date of payment, the Distributor forwards Payment Advice (Total and/or Detail) to the Retailer.

Rules:
1. Payments are made based on the amount and due date of the Consumer's bill.
2. Distributor will remit to the Retailer the full amount of the bill regardless of whether the Consumer
    pays the Distributor or not. (This is only for commodity charges.)



5.4.2 Payment Advice –Retailer Consolidated Billing

Definition/purpose
This is a transaction to let the Distributor know when and how to expect their payment on
their Consumer‟s portion of an Invoice. A Retailer shall pay relevant amounts to a
Distributor on the same date that payment is due to the Retailer from a Consumer.

Flow
On the due date of payment, the Retailer forwards the Payment Advice to the Distributor.
The payment will be sent according to the Payment Advice. The options are “Direct
Deposit”, “Wire Transfer”, and “Cheque”. See flow PA-2 for details.

Response
Once the Distributor receives this transaction, they send an Application Advice back to
the Retailer stating that it was either accepted or rejected. This Application Advice is
sent no later than two business days after the receipt of the Payment Advice transaction
from the Retailer.

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   Rules
   Payments are made based on the amount and due date of the Consumer's bill. The
   Retailer will remit to the Distributor the full amount of the Distributor‟s bill, regardless of
   whether the Consumer pays the Retailer or not.

                                       TRANSACTION FLOW PA-2:
                                     Retailer Consolidated Payment Advice
                                        “Bill and Rate Ready” Options




RETAILER                                           HUB                                               DISTRIBUTOR
                 1. Payment Advice                                1. Payment Advice




   ***Application Advice must be sent on all above transactions to indicate an accept or reject of the
   transaction.

   Flow:
   1. On due date of the Consumer‟s payment, the Retailer forwards Payment Advice (Total and/or Detail)
       to the Distributor.



   Rules:
   1. Payments are made based on the amount and due date of the Consumer's bill.
   2. Retailer will remit to the Distributor the full amount of the bill regardless of whether the Consumer
       pays the Retailer or not.




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   5.4.3 Payment Advice – Settlement Billing

   Definition/purpose
   This is a transaction to let either the Distributor or Retailer know when and how to expect
   their payment of the Settlement Invoice. The payment due date is the same as the
   Consumer bill.

   Flow
   On the due date of payment, the Distributor or Retailer forwards the Payment Advice to
   the other party. The actual payment will be sent according to the Payment Advice. The
   options are “Direct Deposit”, “Wire Transfer”, and “Cheque”. See flow PA-3 for details.

   Response
   Once the Distributor or Retailer receives this transaction, they send an Application
   Advice back to the other party stating that it was either accepted or rejected. This
   Application Advice is sent no later than two business days after the receipt of the
   Payment Advice transaction.

   Rules
   Payments are made based on the amount and due date of the Settlement Invoice.


                                     TRANSACTION FLOW PA-3:
                                      Settlement Payment Advice



RETAILER                                           HUB                                             DISTRIBUTOR
                 1. Payment Advice                                1. Payment Advice




   ***Application Advice must be sent on all above transactions to indicate an accept or reject of the
   transaction.

   Flow:
   1. Retailer validates Invoice and Distributor forwards Payment Advice (Total and/or Detail) to the
       Retailer if payment is due to the Retailer. If monies are owed to the Distributor, then the Retailer
       forwards the Payment Advice (Total and/or Detail) to the Distributor.
   Rules:
   Either Retailer or Distributor can send Settlement Payment Advice (Total and/or Detail), so this process
   flow is bi-directional.

   5.4.4 Payment Advice – Market Participant

   Definition/purpose
   This is a transaction to let either the Distributor or Retailer know when and how to expect
   their payment on their portion of the Market Participant Invoice. The only Payment

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Advice transaction allowed for this is the “Payment Advice Total”. The payment due
date is decided upon by Trading Partners and defined in their Service Agreement.

Flow
On the due date of payment, the Distributor or Retailer forwards the Payment Advice to
the other party. The actual payment will be sent according to the Payment Advice. The
options are “Direct Deposit”, “Wire Transfer”, and “Cheque”. See flow PA-4 for details.

Response
Once the Distributor or Retailer receives this transaction, they send an Application
Advice back to the other party stating that it was either accepted or rejected. This
Application Advice is sent no later than two business days after the receipt of the
Payment Advice transaction from the Trading Partner that sent the Payment Advice.

Rules
Payments are made based on the amount and due date of the Market Participant Invoice.




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                                      TRANSACTION FLOW PA-4:
                                     Market Participant Payment Advice




RETAILER                                           HUB                                             DISTRIBUTOR
                 1. Payment Advice                              1. Payment Advice




   ***Application Advice must be sent on all above transactions to indicate an accept or reject of the
   transaction.

   Flow:
   1. Market Participant validates Invoice and forwards Payment Advice (Total only) to the other Market
       Participant.

   Rules:
   Either Retailer or Distributor can send Market Participant Payment Advice (Total only), so this process
   flow is bi-directional.




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5.5 Application Advice
The sections below define the definition/purpose, flow, response and business rules
around implementing the Application Advice. This transaction is in response and
returned by the recipient for every Meter Data, Invoice and Payment Advice transaction
to notify the sender that the transaction was either accepted or rejected at their application
level. If the transaction was accepted, no further action is needed. If the transaction is
rejected, the originator of the transaction must send a corrected transaction.

Definition/purpose
This is an application level transaction that is in response to a Meter Data, Invoice and/or
Payment Advice transaction to acknowledge whether the transaction was either accepted
or rejected within the receivers system.

Flow
The Trading Partner sends a Meter Data, Invoice, or Payment Advice to the other Trading
Partner. The originating Trading Partner will get an Application Advice for each one of
the transactions that was sent. See flow AA-1 for details.

Response
The only response back from an Application Advice will be a Functional
Acknowledgement because the Application Advice is a response transaction.

Rules
An Application Advice must be sent no later than two business days after each Meter
Data, Invoice, and Payment Advice transaction. Both Retailers and Distributors can send
an Application Advice.




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                                         TRANSACTION FLOW AA-1:
                                             Application Advice
                                             “Reject or Accept”


                    1. Meter Data,                                                1. Meter Data,
                    Invoice, and                                                  Invoice, and
RETAILER            Payment Advice                           HUB                  Payment Advice                    DISTRIBUTOR
                    transaction                                                   transaction



               2. Application Advice (reject/accept)
                                                                        2. Application Advice (reject/accept)




 Flow:
 1. The Retailer will send an EBT (Meter Data, Invoice and Payment Advice) to the Distributor.
 2. The Distributor will return to the Retailer an Application Advice (reject/accept) in response to each
     EBT (Meter Data, Invoice and Payment Advice).
 Rules:
 1. Application Advice is sent no later than 2 business days after receipt of each Meter Data, Invoice, and
     Payment Advice transaction.
 2. Both Retailer and Distributor will send an Application Advice, so this process flow is bi-directional.

                                         TRANSACTION FLOW AA-2:
                                             Application Advice
                                             “Reject or Accept”

                     1. Meter Data,                                                1. Meter Data,
                     Invoice, and                                                  Invoice, and
                     Payment Advice                                                Payment Advice
                     transaction                             HUB                   transaction
RETAILER                                                                                                            DISTRIBUTOR
                2. Application Advice (reject/accept)                       2. Application Advice (reject/accept)




 Flow:
 1. The Distributor will send an EBT (Meter Data, Invoice and Payment Advice) to the Retailer.
 2. The Retailer will return to the Distributor an Application Advice (reject/accept) in response to each
     EBT (Meter Data, Invoice and Payment Advice).
 Rules:
 1. Application Advice is sent no later than 2 business days after receipt of each Meter Data, Invoice, and
     Payment Advice transaction.
 2. Both Retailer and Distributor will send an Application Advice, so this process flow is bi-directional.




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5.6 Status Advice
Definition/Purpose
The Status Advice (SA) transaction is used by a Trading Partner for an informational
change in status/response to an originating STR or Meter Data transaction. The SA is
sent on an as needed basis. It contains contact information, effective processing dates
and descriptions of status changes.

Flow
The Status Advice may flow from any Trading Partner through the Hub to any other
Trading Partner. For an example, see the flows in the STR and Meter Data sections.

Data
The information contained in the Status Advice includes the status codes, the reference to
an original transaction number if appropriate, new effective date, and any contact
information that may assist the recipient.

Response
The only response back from a Status Advice will be a Functional Acknowledgement.

Rules
When the Status Advice is sent to a third party (not the originator) the original transaction
number is “blocked”. This prevents the sharing of one Trading Partner‟s information with
another Trading Partner in a possibly inappropriate manner.




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5.7 Functional Acknowledgement
The sections below define the definition/purpose, flow, response, and business rules
around implementing the Functional Acknowledgement. Every Trading Partner and the
Hub send this transaction for every PIPE Document (which contains one or more PIP
Transaction(s) i.e.: STR, Meter Data, Invoice, Payment Advice, and Application Advice
transactions) that is received by them.

Purpose/Definition

The Functional Acknowledgement transaction is used to indicate the results of the
syntactical analysis of the XML encoded PIPE document as well as Trading Partner
validations. This transaction does not cover the semantic meaning of the information
contained in the transaction sets. The result of the transaction is to notify the Trading
Partners and the Hub that the PIPE Document (which contains one or more PIP
Transaction(s) i.e.: STR, Meter Data, Invoice, Payment Advice, and Application Advice
transactions) was either “accepted” or “rejected” at either the PIPE Document or PIP
Transaction level due to the syntactical analysis of the document content as well as other
Trading Partner validations. There are four levels of the Functional Acknowledgement:

   PIPE Document was “accepted”; no further action is needed. (PIPE document can
    contain one or more PIP transactions.)
   PIPE Document was “rejected”, the sender of this document needs to resubmit again.
   A PIPE Document partial acceptance occurs when the PIPE Document has both
    “rejected” and “accepted” PIP Transactions (STR, Meter Data, Invoice, Payment
    Advice, and Application Advice transactions) within it. The partial acceptance will
    indicate the specific PIP transactions (STR, Meter Data, Invoice, Payment Advice,
    and Application Advice transactions) that are rejected with reject reasons. The partial
    acceptance will also indicate all PIP transactions (STR, Meter Data, Invoice, Payment
    Advice, and Application Advice transactions) that are accepted as well.
   A PIPE Document that contains all “rejected” PIP transactions (STR, Meter Data,
    Invoice, Payment Advice, and Application Advice transactions).

Flow

The Functional Acknowledgement is sent by each recipient being the Trading Partner as
well as the Hub, of a PIPE Document (PIPE document can contain one or more PIP
transactions.) See flow FA-1 and FA-2 for details.

Data
Each PIPE Document has a reference number assigned by the originator that uniquely
identifies the document. The Functional Acknowledgement identifies this PIPE
Document reference number on all correspondence. Also within each PIPE Document,
each PIP Transaction will have a transaction reference number assigned to it as well.
This number will be used in the event of a partial “accept” and/or “reject” of a Functional
Acknowledgement.

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Rules
A Functional Acknowledgement will be sent from the Hub within four business hours of
receipt of the PIPE Document. A Functional Acknowledgement from the Trading
Partner will be sent within one business day from the day of receipt of the original
transaction. A Functional Acknowledgement is sent in response to each PIPE Document
that is sent between the Trading Partner and the Hub.




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                                TRANSACTION FLOW FA-1:
                                Functional Acknowledgement



                                           1. PIPE Document

              TRADING PARTNER                                            HUB


                                     2. Functional Acknowledgement




Flow:
1. The Trading Partner sends a PIPE Document (which contains one or more PIP Transactions i.e.: STR,
    Meter Data, Invoice, Payment Advice, and Application Advice transactions) to the Hub.
2. The Hub will send back to the Trading Partner a Functional Acknowledgement that states at which of
    the four levels the PIPE Document was either “accepted” or “rejected”.

Rules:
Trading Partners and the Hub must send a Functional Acknowledgment for all PIPE Documents that are
received.




                                TRANSACTION FLOW FA-2:
                                Functional Acknowledgement



                                             1. PIPE Document

              TRADING PARTNER                                            HUB


                                      2. Functional Acknowledgement




Flow:
1. The Hub sends a PIPE Document (which contains one or more PIP Transactions i.e.: STR, Meter
    Data, Invoice, Payment Advice, and Application Advice transactions) to the Trading Partner.
2. The Trading Partner will send back to the Hub a Functional Acknowledgement that states at which of
    the four levels the PIPE Document was either “accepted” or “rejected”.

Rules:
Trading Partners and the Hub must send a Functional Acknowledgment for all PIPE Documents that are
received.




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                               Ontario EBT Standards Document



6. Trading Partner Training

Introduction: Prior to providing power supply service to any Consumer in the market
area, a Retailer must complete training. Given the importance of understanding the
operation and communication requirements of the new market infrastructure, is the
recommendation of the EBT Team that each Retailer and Distributor must complete the
training program and testing prior to the first production transaction being submitted to
each other.

Training Framework: The EBT Sub Team will develop a training framework to provide
Retailers with a solid base of knowledge for successfully doing EBT business using the
Hub.

This training will be focused on operational deployment covering the requirements and
responsibilities for testing and implementing EBTs.




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7. Trading Partner Testing

Introduction: All Trading Partners demonstrate their capability to electronically
exchange data with each other through the Hub. Successful testing of all transactions
must be completed prior to the first production transaction being submitted to the Hub.

An Ontario-EBT Test Plan will provide a standardized set of test conditions that Retailers
and Distributors will use to verify their transactions and EBT interface with the Hub.

The purpose of the testing is to verify that the Retailer is capable of complying with the
data transfer standards specified in this document and has the necessary software and
hardware required to send, receive, and process the standard transactions required to do
business in the market.

The test plan is not intended to exercise every conceivable transaction condition, but it
will cover the most common scenarios and enough error conditions to demonstrate basic
error handling. The test plan cannot anticipate limitations that exist within trading
partners‟ systems, so trading partners must perform additional testing of their own
systems and the interaction between them.




Version 2.1                          December 21, 2001                               Page 92.
Appendix A:
 Ontario EBT
Transaction Sets
Appendix B:
  References
                            REFERENCE DOCUMENTS



1. Retail Settlements Code can be found at the OEB Web Site

To Access the OEB Site, www.oeb.govt.on.ca, once on their page you will find the Code by
clicking on the Legislation, Codes, Rules and Guidelines option, then go about three
quarters of the page down to Retail Settlements Code.


2. XML Schema Background

Pending standards for the schema logic can be found at http://www.w3.org/XML/Schema.html
  Appendix C:
Implementation Guides
     Appendix D:
Reason and Status Codes List
Appendix D: Codes Lists: Reject Reasons and Status Codes
The following table lists some of the possible reject reasons that would be sent in an
Application Advice in response to errors in processing Meter Data, Invoice, and Payment
Advices. The list begins with a group of generic reject reasons used by multiple types of
transactions. Service Transaction Requests use reject reasons in the reject response
transactions and these are included. Finally, Status Advice transactions use status reasons
and these are the last type of reason listed below.

Each Distributor will make a list of reject and status reasons available for the Retailers.
The list will include an explanation of the reasons and the steps necessary to correct any
errors. The EBT Sub Team recommends the development of a common list to be used by
all Trading Partners of the Hub in the future.

GENERIC REJECT REASONS

                 Account Not Found
                 Invalid Request
                 Function Not Supported
                 Duplicate Request
                 Invalid Retailer
                 Original Reference Number Invalid
                 Required Information Missing
                 Invalid OEB Licence Number

METER DATA REJECT REASONS

                 Invalid Meter Change Option
                 No Data Available
                 Metered Service Already Installed
                 Unmetered Service Already Installed
                 Invalid Meter Service ID
                 Invalid Unmetered Service ID

INVOICE REJECT REASONS

                 Invalid Relationship
                 Duplicate Invoice received
                 Dates Do Not Match
                 Invalid or missing date
                 Bill Type Mismatch
                 Outside Bill Window
                 Sum of Details does not equal total

REMITTANCE REJECT REASONS

                 Sum of Details does not equal total
                 Invalid or Missing Date
                            Ontario EBT Standards Document


SERVICE TRANSACTION REQUEST REJECT REASONS

              Consumer in contest (use to reject 3rd retailer trying to enroll a customer who is
              already in a contest period)
              Invalid name match
              Invalid address match
              Invalid bill option
              Invalid read indicator
              Invalid rate code
              Prudential Requirements not met
              Customer in arrears

STATUS ADVICE CODES

              Contest Period Over
              Change Consumer Location
              Notice of Pending Switch
              Additional 10 Days
              New Effective Date
              Terminate Transfer Request
              Within Blackout Period
              Consumer Disconnected
              No, or late, response
              Problem Installing Meter
              Problem on Initial Meter Read




Version 2.1                        December 21, 2001                                   Page   2.
     Appendix E:
          Test Plans
     And Transactions


(pending, later issue of document)
Appendix F:
Working Groups
 Issues Lists
             EBT CLEARINGHOUSE - WORK GROUP ISSUES LISTING
#                    Description                                     Recommendation                         Status/ Date

A1   What is the number of days for a trading         Application advice should be sent within five          CLOSED
     partner to send an application advice.           business days for all STR's, and within two            03/30/00
     (and is it different for the different type of   business days for all other EBT transactions.
     transactions?)
A2   Need a list of reject reason codes               received list from Usage, Invoice and Payment          CLOSED
                                                      Work Groups                                            03/30/00
A3   What is the level 2 validation that each         Not an issue                                           CLOSED
     trading partner will be validating                                                                      03/30/00
     transactions on to either accept or reject
     the transaction.
A4   What is the level 3 validation that each         Not an issue                                           CLOSED
     trading partner will be validating                                                                      03/30/00
     transactions on to either accept or reject
     the transaction.
B1   Only the Retailer receives a bill through        All other market participants should receive           CLOSED
     the EBT, not the other Market                    copies of the bills via hard copy, email, fax, etc.
     Participants unless they sign up as a            MPs will have transactions via the EBT.
     Retailer. [including Retail generators --
     load displacement NUGs: this is to be
     done by settlement invoice at the
     summary level with no detail.]




B2   How are unmetered services going to be    A meter will be required to be in place. Line                 CLOSED
     handled in a Bill Ready scenario? How     items to be added. Concentrate on the
     will Distributors accept unmetered        commodity portion for now. Streetlights will be
     services (water heaters, phone booths,    treated like an interval metered customer -
     etc)?                                     account #s, etc. We have to think about how
                                               we will handle items such as ph
B3   Will the dispute process for Billing be a 1) will be handled manually by phone, email,                  CLOSED
     manual process ? What happens in the fax. 2) There is currently an XML transaction                      03/28/00
     cancel/rebill scenario? Two issues        which can be used to handle this. Do we use
     here:- 1) how do we handle billing        this? We will have to further define the
     error/rejects and 2) how do we handle     scenarios and the related transactions for each.
     disputes?                                 3-28-00 Built transactions to support this.

B4   Is there a monthly Distributor to Retailer       No. Off-line transactions (Retail Settlements       CLOSED -
     true monthly bill - do we have any               Task Force). RSC 7.1., page 21 - OEB needs           03/13/00
     examples (late payments, enrollment              to translate the OEB intention of this rule. 3-28- REOPENED
     charges, etc).                                   00 Invoice Team has made a transaction to           - 03/14/00
                                                      support this if it is decided that we need to       CLOSED -
                                                      implement this.                                      03/30/00

B5   Do we require a balance section on each          Talk of not putting on invoice and making new           Closed
     invoice for end-use consumers? Fear is           transaction "collections" or Retailer can pull         03/29/00
     that the Market Participant may not know         down from historical requirements. 03/29/00 this
     if the customer has truly paid the bill or       field will be added but it is optional and at the
     not. What mechanism is there for                 discretion of both trading partners.
                                         Ontario EBT Standards Document


      reporting over 150 kW payments so both
      parties know what the consumer has
      truly paid or not paid.
B6    Do we need to show the PST? And other        We have added PST, GST and exempt to our             CLOSED
      taxes? GST is the only one that is           Tax tag for each Meter and Rate level loop to        03/28/00
      stated in the RSC. Who calculates the        handle this. It is an optional field.
      tax?
B7    How are taxes calculated and sent for        OEB issue need input. 03/29/00 Invoice Team            Closed
      the bill ready charges. How are they         has allowed for taxes in the transaction and          03/29/00
      printed?                                     however the trading partner wants to parse it
                                                   out for the line item will be up to them.

B8    Bill print options: How many should be       Electronic Business transactions may need to         CLOSED
      allowed: Printing bills in French , for      include international characters for pass            03/28/00
      example, and also large font for visually    through billing descriptions. NEED: each
      impaired.                                    company to let us know what the valid values
                                                   are. So far we have English and French.
                                                   03/28/00 We are taking English and French for
                                                   the time being. We may need to revisit this as
                                                   we start to implement.
B9    RSC now only allows one line item for          EBT will allow for more line items on the bill,    CLOSED
      charges and that will not allow room for     but the billing party may charge for these extra      2/29/00
      detailing credits, taxes, etc.               lines. The group felt that six lines would be a
                                                   more realistic minimum: two for charges, two for
                                                   credits to those charges, and two for taxes

B10   Will tax exempt data be passed in STR              03/28/00 - Will be passed in invoice           CLOSED
      and/or billing transactions?                                    transactions.                     03/28/00
B11   Assumption .. Market Participant             Yes. MP billing is an EBT.                            Closed
      invoicing to go through the hub as an                                                              3/2/00
      EBT?
B12   How do we handle SSS retailer doing          This may be a rate ready scenario needed             CLOSED
      the billing for the LDC?                     sooner than anticipated. 03/28/00 This is known      03/28/00
                                                   as the Retailer Consolidated Billing Option.

B12   Is there a Retailer Consolidated Rate      The RSC dated 2/28/00 states that we have a              Closed
      Ready billing option?                        transaction for Retailer Consolidated Billing.        03/29/00
                                                The billing team has taken this to mean that this
                                                will be Line items that are sent by the Distributor
                                                 to the Retailer to be put on the consumers bill.
                                                  If this is not the intent of the OEB we need to
                                                     know so we can accommodate. 03/29/00
                                                   Retailer Consolidated includes Bill and Rate
                                                                      Ready both.
B13   Do we need to report on the invoice the Cheryl is getting us a bill that shows intervals so         Closed
      timing of intervals along with associated we know how it will look for the future. 03/30/00        03/30/00
      dollar amounts or is this assumed total? This is a closed issue we are going to report the
      Also, do we have to report the timing of interval usage for billing as a summed amount
      intervals on the invoice?                 with begin and end reads.
I01   What are the Ontario legal requirements I DO NOT HAVE THE INFO FOR THIS ISSUE                           ??
      for maintaining customer data inside the
      province?


I02   Does the Hub assign a unique            Hub does this.                                              Closed
      transaction number for tracking EBTs on                                                            3/6/2000

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      the HUB?

I03   Do Banking transactions flow through         Banking transactions are not part of the Hub.      Closed
      the hub?                                     Payment (remittance) Advice will flow through      3/2/00
                                                   the hub, but is separate from the banking EFT
I04   Will LTLT (Long Term Load Transfer)          Yes                                                 Closed
      customers be treated as a retailer                                                              3/6/2000
      customer?
I05   NSLS data will be available on web site.     Yes                                                 Closed
      Should it be an XML transaction?                                                                 3/2/00
I06   Is (RSC 3.1 p.2) data exchange for           Optional therefore placed in later phase for        Closed
      embedded distributor the responsibility      implementation                                     3/6/2000
      of hub?
I07   RSC 5.2…"A host distributor must             End use customer is a new identified trading       Closed
      provide an embedded distributor with         partner type for the Hub                           3/2/00
      access to hourly data for all variables
      contained in equation 3.3.1(d) via the
      EBT System or via an alternative
      method agreed to between the host and
      embedded distributors." .. Same in
I08   Assumption...Gap analysis will provide       Gap analysis will provide detailed                 Closed
      detailed implementation steps and costs      implementation steps and costs for Levels 1        3/2/00
      for Levels 1 and 2, with system analysis     and 2, with system analysis needs and cost
      needs and cost estimates required for        estimates required for Levels 3 and 4.
      Levels 3 and 4.
I09   Will the hub be responsible for sorting      The hub is not responsible for sorting              Closed
      transactions?                                transactions. FIFO will be enforced.                3/2/00
I10   There is a CIS Issue of how to track         CIS issue                                           Closed
      history of non-electricity related items.                                                      2000/03/29

I11   How will the Web site that OH is             NOT EBT PROBLEM                                     Closed
      developing for pre-enrollment period                                                           2000/03/29
      STRs interface with the Hub once the
      Hub is operational?
I12   Appendix A and B and C missing from          OEB developing Draft for missing sections.          Closed
      RSC                                                                                            2000/03/29

I13   Section 10.6.3, of the RSC implies that      Issue will be documented for OEB                    Closed
      End Use Customers will access the            decision/resolution. The current assumption is    2000/03/29
      HUB. Need to obtain clarification of the     that End Use Customers will NOT access the
      intended requirements outlined in this       HUB.
      section.
I14   Are Prudential Requirements part of the  The current assumption is NO. The HUB will not      Closed
      EBT Clearinghouse function?              be responsible for Prudential Requirements.       2000/03/29
                                               The market participant's distributed applications
                                               will be responsible for determination of the
                                               Prudential Requirements
I15   Allow the EBT clearinghouse to store the Phase II functionality.                             Closed
      meter information from the Meter Data                                                      2000/03/29
      Mart?
I16   What are the Ontario legal requirements EBT Clearinghouse will be secure and not             Closed
      for maintaining customer data inside the violate customer information privacy rights       2000/03/29
      province.




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                                          Ontario EBT Standards Document


I17   What are the allowable qualified vendors A proposed list has been compiled for review.               Closed
      capable of responding to the RFP.                                                                  2000/03/29

I18                                          The recommendation is to have the "First" HUB
      How will Certification of additional HUB                                                             Closed
      be administered in Ontario.            establish and perform the certification                     2000/03/29
                                             requirements for the following HUBs.
I19   What are the Hardware requirements to Excelergy has provided the Hardware                           Closed
      support the HUB applications.          requirements.
I20   Training and testing requirements need A preliminary plan has been submitted for                     Closed
      to be defined for the HUB              review on 3/28/2000.                                        2000/03/29

I21   Will a manual update WEB based                The Assumption is that the HUB will provide            Closed
      capability be required for all EBT            WEB based manual input capabilities for all          2000/03/29
      Transactions.                                 EBT's.
I22   How will stacking be managed in the           The HUB will maintain a FIFO methodology for           Closed
      HUB and what procedures are required?         processing and transmission of all stacked           2000/03/29
                                                    EBTs
I23   Who will be the owner of the RFP.             The Assumption is that the Consortium will be          Closed
      Which legal entity will have its name on      the owner of the RFP. The Consortium is              2000/03/29
      the contract with the Hosting Vendor?         composed of Excelergy, Toronto Hydro and
                                                    OHSC
I24   Who will establish the legal entity of the    Excelergy will be responsible for establishment       Closed
      HUB consortium?                               of legal entity.
I25   Is there a requirement for the Hub to         NO… per Richard Crouch                                 Closed
      communicate in French?                                                                             2000/03/29

I26   How do we communicate the removal of          Trading Partner info: name, OEB #, and Active      Closed
      Trading Partners to the hub. Must look        Status needs to be verified/validated at the HUB 2000/03/29
      at how the OEB issues licenses and            level. A WEB page will be developed which will
      revokes them - communication to the           document all currently Active Trading Partners
      hub and all Trading Partners.                 and Suspended Trading Partners.

I27   Will there be a secondary validation on       Recommendation is to provide this within the           Closed
      trading partners at the hub based on          hub. The Hub will get informed that a Retailer is    2000/03/29
      registration/certification with the           now or is no longer a valid trading partner for a
      distributors                                  given Distributor by the Distributor.
I28   Bundled STRs will not be accepted – if        It should be done at the transaction level             Closed
      one part fails, the whole transaction fails   Bundling of transaction will not be available at     2000/03/29
      – no exceptions. ISSUE - Infrastructure       the hub.
      Team should look at validation levels.
      Validation needs to be decided upon for
      the HUB. Do we validate at the group
      level, transaction level?
I29   Time Zones – lots of discussion revolved      The recommendation is EST for all time/date            Closed
      around what time zone to use for EBT.         stamps                                               2000/03/29
      Should we be using GMT (UTC) for
      Interval Meter Data only. What about
      the time stamps for Date/Time for all
      other transactions? Some more
      discussion needed around this issue
I30   Archival of meter data.. RSC requires         The recommendation is to have capability of            Closed
      EBT system capability of retrieving           transaction archival and retrieval within the        2000/03/21
      meter data at least from one previous         Trading Partner's systems and utilize the EBT
      billing period.                               Clearinghouse Hub for exchange.



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                                       Ontario EBT Standards Document


I31   How will collected enrollments be dealt Recommendation is to have the enrollments be          Pending
      with on November 1, 2000? Will all          effective on the first meter read following
      enrollments be effective on November 1, November 1
      or will best effort be made by the
      Distributors to have the enrollments be
      effective on the first meter read following
      November 1?
M1    (Pg8/Section 2.5) NSLS/Pricing on Excel spreadsheet made available w/ hourly                  Closed
      EBT or Web? Why does LDC need data downloaded from the Web. NSLS lags 10-                     3/14/00
                                                  40 days.
      to supply? Load profile                     Web-based information.
M3    Meter swap – e.g. from IM to                Process flow should help clarify this. Flows      Closed
      consumption, from IM to new IM – reviewed to clarify.                                         3/21/00
      what happens?
M4    Mechanism to release metering info? Internal automation mechanism (hand-off)                  Closed
                                               between sub-processes.                               3/14/00
M5    (Pg24/Section 5.2) Define read           Resolved in Issue #2 - not a separate issue          Closed
      schedule for MIST meters – read          since it is part of daily transmission               3/14/00
      cycle defined by LDC? Sunday to
      Sunday?
M6    (Pg24/Section 5.1) Embedded              If Embedded Distributor (ED) is treated as a         Closed
      Distributors – hourly data via EBT       Retailer, then flows through EBT same as             3/14/00
                                               Retailer; if ED is treated as an embedded
      System OR an agreed alternative          customer (EC), then treated as regular
      mechanism? Needs to be defined           customer info.
M7    Reformatting data for EBT                Meter Data will be reformatted to do XML             Closed
      transmission needed from one format      through EBT.                                         3/14/00
      to XML-specific?
M8    (Pg52/Section 11.1) Clarification of     Always dealing w/ multiplied consumptions            Closed
      multiplied kWh                           from previous and current, not raw usage             3/14/00
                                               (meter reading)
M9    Load transfers - What is the             Need confirmation that this issue is resolved in     Closed
      difference between normal services       Issue #6 - they are treated as Retail Customer,      4/4/00
                                               Wholesale Customer, or Retailer. Distribution
      and load transfers?                      System Code (DSC) will further define this
                                               process.

                                               For metering, the LDC supplying the power
                                               looks more like a Retailer. For billing, the LDC
                                               owning the territory looks more like a Retailer.
                                               Perhaps a better match for metering is to look
                                               like an MDMA.

                                               LTLT will be handled outside MDT.




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M10   (Pg54/Section 11.3) Identification of       Confusion existed as to whether the term               Closed
      CURRENT regulated rate? Is that             Current regulated rate meant rate class as             3/28/00
                                                  listed below or the rate formula by which the
      same as rate class? What is it?             customer is billed (e.g. fixed rate, NSLS-based,
                                                  or hourly Utility Spot Market Price). We have
                                                  assumed the latter as it seems to make more
                                                  sense.

                                                  Assume that it is the same, but confirm this with
                                                  Jim Steele. Current classifications are:
                                                  + Residential--Urban
                                                  + Residential--High Density
                                                  + Residential--Normal Density
                                                  + Seasonal
                                                  + Farm
                                                  + General--Urban Density
                                                  + General--single phase supply
                                                  + General--three phase supply
M11   Meter data is only sent on historical       Still needs to be defined in Meter Data DD, but        Closed
      request, for the current meter?             should only be sent for Enroll, Swaps, and             3/14/00
                                                  Historical data requests - NOT daily
                                                  consumption. Meter Data is sent in the Usage
                                                  and Historical Usage Accept Transactions for
                                                  existing services on the account. In the Usage
                                                  Transaction, it applies to the current services;
                                                  whereas, for the Historical Usage Accept
                                                  Transaction, it applies to the relevant services
                                                  on the account for the requested/available time
                                                  span.
M12   How to handle traffic lights and other   Number of unmetered services can be derived               Closed
      unmetered loads? How to identify?        from the transaction. Service Type (e.g. traffic          3/14/00
      How to measure/calculate consumption? lights, etc.), Number of units per unmetered
                                               service, ServiceID is available
M13   Ontario hydro time vs. Toronto hydro     Why not use GMT?                                          Closed
      time-EDT vs EST? LDCs in western                                                                   4/4/00
      portion of province will convert to EST? In general it should be non-daylight switching
                                               and consistent throughout the province.

                                                  Ruling is everything is Eastern Standard Time
                                                  (EST)
M14   Transformer Loss Factor - When will it      Tied to meter. Defined as multiplier, so               Closed
      be there? Can there be multiple TLFs?       grouped w/ them.                                       3/21/00
M15   Product Type (unmetered=other) and #        e.g traffic light, phone booths                        Closed
      of unmetered services? Is this specific     Yes, this information is available.                    3/27/00
      info available?
M16   Terminology for "billing" period - do we    Different billing periods exist.                       Closed
      need to present this?                       This was clarified during discussions of meter         3/21/00
                                                  data dictionary.
M17   Read type - need clarification              This shows who read the meter and how the              Closed
      (Pg52/Section 11.1)                         figure was arrived at. Currently it will be            3/27/00
                                                  Distributor Read, Consumer Read and
                                                  Distributor Estimated. Later it will include Meter
                                                  Data Service Provider. Read Type is now
                                                  referred to as Reader. Valid values for Reader
                                                  are Distributor, Consumer.

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                                           Ontario EBT Standards Document


M18    In the STR, what parameter to request        STR has a field to request less than max               Closed
       less than the max #months of history         number of months.                                      3/21/00
M19    What is a billing period? How long is a      See previous issue on billing period.                  Closed
       billing period                                                                                      3/21/00
M20    P53/Section 11.1, last paragraph - how       Assume this information is provided by creating        Closed
       to handle?                                   a new transaction--a solicited version of the          3/28/00
                                                    Daily Feed.

                                                    The remaining open part to this is--will the Hub
                                                    provide this data by watching transactions that it
                                                    routes or will the LDC provide the data?
M21    Date and time as separate fields?            No.                                                    Closed
                                                                                                          3/21/2000
M21    MDT "reject" is handled in a Status      Yes, any errors will be of a generic nature and            Closed
       Advice (SA) - is there enough info in thethe SA will be able to carry the information.              3/27/00
       current version (defined by STR sub-     MDT rejects from the Retailer (Usage are sent
       group) to handle reject meter info?      as Application Advices (AA) with sufficient
                                                information.
M22    What data is needed for unmetered        Clarified during discussion of data dictionary.            Closed
       services?                                Unmetered information is Service Type (e.g.                3/21/00
                                                traffic lights, streetlights, etc., ServiceID, and
                                                Number of Units. Unmetered data is comprised
                                                of Unit of Measure, Measure value (quantity),
                                                and Significance (estimated).
M22    For TOU, do we need to report previous Assume yes for daily feed transactions. Kevin                Closed
dup#   and current TOU and appropriate time     Rolston will confirm this.                                3/27/2000
       periods
M23    How do we deal with TOU meters where Assume we can remote the TOU periods from                      Closed
       the TOU periods change seasonally and the transaction. The LDC will post them to a                 3/27/2000
       include special days as off-peak.        web site for all to view and the Retailer will
                                                obtain the information directly. This web site
                                                will have to include a history of the TOU periods
                                                whenever the standards are changed.
M24    Do we need to provide a socket ID? It    Assume we should have the Socket ID, but                   Closed
       may be required to match old and new have it listed as optional to help LDCs that do               3/27/2000
       meters in a Historical request. In a     not trace it now.
       multi-metered service if one meter is
       swapped out the history information
       jumps from one meter to the one it was
       replaced by. The socket number will
       help to tie these two meters together.
P1     What is the number of days for a trading Closed on 3/30/00 - EBT Team states that the                Closed
       partner to send payment on a settlement payment will be the same day as the consumer                03/30/00
       invoice                                  payment is due.
P2     What is the number of days for a trading Closed on 3/30/00 - EBT Team states that this               Closed
       partner to send payment on a market      will be defined in the Trading Partner Service             03/30/00
       participant invoice                      Agreement.




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                                          Ontario EBT Standards Document


 P3    Need a revision to the section of 7.2.3      This should be revised and replaced with the              0PEN
       that refers to "In the event of partial      phrase that Brian Hewson from OEB had
       payment by a consumer, a distributor         stated. This was that the Distributor only had to
       shall allocate that payment to the           make whole the commodity charges only. If the
       portions of the bill covering competitive    Distributor is to bill for the non-competitive
       and non-competitive electricity costs        charges for the Retailer, the Distributor would
       based on the ratio of the amounts billed     only send monies if the consumer paid them for
       for competitive and non-competitive          this portion of the bill. This is pending an edit to
       costs."                                      the RSC and a new release.

STR1   Who creates date/time stamp for EBTs -- Code says that LDC will process STR in order                Closed
       Hub or EBT originator?                        received. Hub will set date/time stamp and          2/29/2000
                                                     assure proper order in receipt of transactions.
                                                     Distributor will process STRs in order received
                                                     by the Distributor. The Distributor will date/time
                                                     stamp all STRs upon Receipt.
STR2   What are the business rules for new           Contract date and time will not be used in            Closed
       enrollments (from SSS) when customer determining order of processing. Customer                    2/29/2000
       is pending with another retailer? Is Date must take overt action to enact rescission.
       of signature on customer contract the         Processing is done in order received. The
       determinant? Should this be captured          sentences above are the roles of the Retailer,
       and tracked?                                  the Consumer, and the Distributor. The
                                                     Distributor will process STRs in the order
                                                     received by the Distributor
STR3   Does Ontario need a final switch              No, The first meter read acts as the final            Closed
       notification?                                 notification of a successful enrollment.              3/13/00
STR4   Does the EBT Partner reject code for          Group consensus is that as many errors with           Closed
       just the first error in an enrollment file or reason codes should be returned as possible,          2/21/00
       for all errors in the file?                   once the account match has been made. Reject
                                                     of an enrollment will report reason codes on all
                                                     mandatory fields
STR5   The name and address validation                Suggestions were made to change the                Re-opened
       ordered by the RSC is not a viable            validation process while still using the guideline    3/13/00
       validation method due to parsing              and intent of the RSC. First , use for the           Pending
       problems with these data fields. The          address requirement first 12 alpha-numeric         confirmation
       group would like to influence the OEB to from service address, uppercase only, (A-Z and email from
       change the validation rule.                   0-9) left to right - special characters and blanks     Brian
       See Page 42 Section 10.4 of the RSC           are excluded, and bill to print name (first four     Hewson
                                                     alpha-numeric print characters,uppercase only,       CLOSED
                                                     (A-Z and 0-9) left to right - special characters     4/6/2000
                                                     and blanks are excluded)... This will be emailed
                                                     to OEB for approval. New accept/reject criteria
                                                     will include 5 fields on an enrollment: Account
                                                     Number, Customer Name, Billing Address
                                                     Postal Code, Billing Option, and Read Indicator.
                                                     Name will be validated as described above.




       Version 2.1                                 December 21, 2001                                       Page   8.
                                          Ontario EBT Standards Document


STR6     Holding periods for each successive   See documentation. The alternative                      Closed
        retailer (in a stack) will drag the    recommended by the team has been presented              3/15/00
        enrollment out and not serve retail    to Brian Hewson and he will advise. Email            waiting final
        access.                                request for response will be made. Update             word from
                                               3/13/00: The group recommends that the                   Brian
                                               rescission period remain the Retailer's                Hewson
                                               responsibility for now and an analysis will be
                                               made in the future to see if the alternative
                                               approach would shorten the processing time for
                                               enrollments.
STR7 STR’s that are bundled (Enroll with       The group agreed that one STR should be                 Closed
      Meter Request) should be rejected if any designed to handle all requests in one                  3/16/00
      part of the bundled request is rejected. transaction. Requests for any changes within
                                               the same billing cycle should also be bundled
                                               (not sent separately). LDC rejects additional
                                               changes coming in during the same period.
                                               Rejected changes could be resubmitted for
                                               processing in the next cycle. NEW WORDING:
                                               The STR Sub Team agreed that some STRs
                                               may be designed to handle multiple request in
                                               one transaction. Requests for enrollment,
                                               metering and billing changes within the same
                                               billing period should be bundled to assure
                                               processing within the same period. The
                                               Distributor will process separate STRs in the
                                               order received which means the
                                               request/change may not take place in the same
                                               or current billing cycle.
STR8 STR’s need to include customer            Brian Hewson agrees that retailers provide            CLOSED
      information changes that are not         change of information STR to LDC… OK to                 2/29/00
      specified in the RSC such as name        require additional EBTs not specifically listed in
      changes, phone numbers, etc.             RSC
STR9 How will the Web site that OH is          Will create sub team to address issues with           Passed to
      developing for pre-enrollment period     convergence of web site with hub                    Infrastructure
      STRs interface with the Hub once the
      Hub is operational?
STR10 New RSC mandates a match on the          Brain Hewson indicated that the new Feb 2000            Closed
      account number for STRs. Will multiple RSC precludes the multiple enrollment in one              2/29/00
      enrollments under one customer name STR. The group consensus was that the
      be allowed?                              business rules should state that only one
                                               account per STR is allowed.
STR11 Assumption.. Security arrangements and Security arrangements and prudential                      Closed
      Prudential requirements are not EBT's? requirements are not EBTs. This is a roles and            3/2/00
                                               responsibilities clarification: The Distributor may
                                               reject an enrollment based on prudential
                                               requirements. The Distributor enforces security
                                               arrangements and OEB Licensing.

STR12 RSC 10.6.1 Is there a seamless move         No new type of STR will be needed for this          Closed
      between LDC's?                              move between LDC territories. NO: There is no       3/2/00
                                                  seamless move outside the current Distributor's
                                                  territory.




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                                          Ontario EBT Standards Document


STR13 10.6.3 Provision of consumer-specific         Issue will be documented for OEB                    Passed to
      information to retailers shall be done at     decision/resolution. "Is this a typo?" Update     Infrastructure
      no charge until the EBT                       3/13/00: Brian Hewson will provide clarification.
      System is operational. Provision of
      consumer-specific information to
      retailers and consumers
      through the EBT System shall be done
      at no charge. Once the EBT system is
      operational,
      requests to deliver data directly to
      retailers and consumers if not delivered
      electronically through
      the EBT System shall be honoured twice
      a year at no direct charge to a retailer or
      consumer.
      Additional requests shall also be
      honoured by a distributor but a
      distributor may, at its discretion,
      charge a reasonable fee for such
      additional requests. A request is
      considered to be data delivered
      to a single address. Thus, a single
      request to send information to three
      locations is considered
      three requests.....need clarification... do
      we allow end use customer access to
      the EBT hub??? IS EBT SYSTEM HERE
      DEFINED AS JUST THE HUB OR THE
      ENTIRE END_TO_END
      ENVIRONMENT???
STR14 Should STR's from Customers be                Consumer STRs should be submitted as EBTs                Closed
      processed through the Hub in the same         through the Hub by the appropriate trading               3/6/00
      way Retailer STRs are processed?              partner. E.g. Bill/meter changes should be
                                                    submitted by the billing party and STR to return
                                                    to SSS may be submitted by the LDC or the
                                                    Retailer. The Distributor or Retailer will send/fax
                                                    a form to the consumer. This process provides
                                                    the written authorization for the Distributor or
                                                    Retailer to process the STR.

STR15 Updates to pending STR databases and Meeting with Brian Hewson 3/13/00: Proposal                       Closed
      the associated costs is a potential  to omit the pending phase of an STR based on                     4/6/2000
      problem. 10.4                        the first validation phase (3 of 3 match). Instead
                                           make acceptance of an enrollment based on 3
                                           of 3 account identification plus two additional
                                           mandatory enrollment fields: Billing option and
                                           Read indicator. This eliminates processing for
                                           resubmittals and notifications. The contest
                                           period notifications and holding logic required
                                           are still a major complexity in the Ontario
                                           market that have high associated database
                                           maintenance costs.




         Version 2.1                            December 21, 2001                                         Page 10.
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STR16 Propose that the 3 of 3 match be             Brian Hewson advises that the RSC states that            Closed
      required only where the customer is not      ALL STRs going to the Distributor must be             3/9/00 Re-
      already enrolled with the requesting         validated with the 3 of 3 rule.                         Opened
      Retailer. Slamming would be fully                                                                    3/13/00
      protected, and account maintenance or                                                                 Closed
      account drop STR's would not be                                                                      3/13/00
      rejected. Successful 3 of 3 match for
      Retailer enrolled customers would
      require both Retailers and Distributors to
      maintain mirror images of each others
      customer name and service address
      records, which is unlikely to be achieved.
STR17 What happens when the Distributor            Is this validation necessary on Distributor to           Closed
      sends an STR that does not pass the 3        Retailer STRs? No, the Distributor is the owner         4/6/2000
      of 3 validation match by the Retailer?       of the consumer information and therefore the
                                                   Retailer will not need to validate all fields.
                                                   Instead the Retailer will match only on the
                                                   Distributor's account number.
STR18 Can we share originator's transaction        Multiple notifications go out that involve multiple      Closed
      numbers with other trading partners?         parties other than the originator. Transaction          4/6/2000
                                                   numbers are not to be shared with other trading
                                                   partners, the number within the transaction will
                                                   be blocked in such cases.
STR19 Should there be a customer name              This will enforce the matching rules.                    Closed
      verification field that is four characters                                                            3/16/00
      long and a address verification field that
      is 6 characters long?
STR20 Is the EBT considered written              RSC definition of written authorization says yes,          Closed
      authorization between trading partners? an EBT may be used in place of written                        3/14/00
                                                 authorization.
STR21 When is the processing of an STR           By defining the process as completed when the              Closed
      complete?                                  acceptance transaction is sent, the Distributor is         3/16/00
                                                 free to process subsequent STRs in a timely
                                                 manner.




         Version 2.1                             December 21, 2001                                       Page 11.
    Appendix G:
Technology Implementation
     Considerations
Appendix G: Technology Implementation Considerations

This Technology overview addresses details pertaining to implementing EBT for the
Market Participants in the Canadian Province of Ontario. Included is a functional
requirements description for the Ontario EBT Clearinghouse (the Hub) that will act as a
critical component in successfully implementing EBT for the deregulated retail electricity
market in Ontario.


CRITICAL SUCCESS FACTORS FOR DATA TRANSPORT OF EBT
The following are the critical factors in evaluating and selecting a data transfer mechanism and the related
standards and practices. The top three EBT data transfer mechanisms considered as viable for the Ontario
deregulated electric market were:

         Private EDI Value Added Networks (VANs)
         Internet Point-to-point
         Internet EBT Clearinghouse Hub


Security
The characteristics of a secure transaction are:

         Privacy - no one other than the parties involved will know the details of the
          transaction;
         Authentication - all parties to the transaction will know at the outset who they are
          dealing with;
         Integrity - messages cannot be changed enroute between parties; and
         Non-repudiation - a party cannot deny having engaged in the transaction.

VANs and the Internet address security concerns in different ways as shown by the table
below. In the case of the VAN, it is the operator who has responsibility for complying
with the listed requirements. The Internet is a public network with no central network
operator; the individual users are responsible for implementing measures to enable
compliance with the listed requirements.

    Characteristic         EDI VAN Requirements              Internet Point-to-Point            Internet EBT Clearinghouse
                                                                 Requirements                                Hub
Privacy                 Private network – ability to       Encryption                       Encryption
                        establish direct connections                                        (file and web session)
Authentication          User names and passwords           Digital Signature / Digital      User names and passwords for
                                                           Certificate (self-certified or   web sessions
                                                           commercial authority)            Digital Signature / Digital
                                                                                            Certificate (self-certified or
                                                                                            commercial authority)
Message Integrity       Contractual relationship/private   Digital Signature / Message      Digital Signature / Message
                        network                            digest algorithm (MIC/MAC)       digest algorithm (MIC/MAC)
Non-repudiation         Logging                            Digital signatures, logging      Digital signatures, logging
                               Ontario EBT Standards Document




Reliability
To be characterized as reliable, the data transfer mechanism and related processes must
be available as required. Reliability is a relative concept measured in degrees, not in
absolute terms. Minimum operational requirements for the data transfer mechanism are
24 hours per day, 365 days per year with scheduled maintenance activities that do not
affect service.

Virtually all of the major EDI VAN operators offer 24 hours per day, 365 days per year
operations, and manage their scheduled maintenance activities without affecting service.
The Internet is considered to operate 24 hours per day, 365 days per year and was
specifically designed for network reliability, even though random parts of the network
may be inherently unreliable. The Internet uses a robust communications protocol
(TCP/IP) that is mature and stable. With this protocol, data packets can be re-routed
dynamically to their eventual destinations should there be an outage in a portion of the
Internet.

Performance
The data transfer mechanism and processes must demonstrate dependable and consistent
operation under varying, but typical, conditions within a required timeframe. For
example, these conditions include transmission of large files, varying degrees of network
traffic, and transmission at different times of day. Performance requirements must be
ensured initially through testing and over time through an established track record of on-
line performance.

Recovery and Re-Transmission
This refers to the ability to support automatic re-transmission for up to a certain number
of working days, after which requests for special processing and handling would be
required.

Archiving and Auditing
The creator of the EBT outgoing message is able to archive or recreate the actual record
in accordance with the particular rules governing each transaction. An adequate audit
trail must exist to provide records of activity (logs).

Interoperability
This refers to the ability to operate and exchange information in a heterogeneous
network. For parties using VANs, interoperability must be offered at the
communications level, and the parties‟ VAN must be able to communicate with other
VANs. Inherent in the Internet is the universal TCP/IP communications protocol.

Costs
Costs related to establishing an industry EBT data transfer mechanism include initial
implementation costs and recurring costs for hardware, software, and personnel.



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DISCUSSION OF CURRENT EBT TRANSPORT / DATA TRANSFER
ALTERNATIVES

Electronic Data Interchange Value Added Networks (VANs)
A VAN is a private network owned and operated by an organisation responsible for its
reliable and secure operation. It can be distinguished from a public data network (i.e.
Internet) by the ancillary services that are included or offered as "value added" services.
Such services include a wide variety of access mediums (regular telephone modem
connections, leased telephone line connections, Internet connections) available to its
Consumers, secure message management including a network user logon procedure,
maintenance of transaction logs and audit trails, translation of varying non-EBT data
sources to/from EBT standard transactions, and the capability of facilitating electronic
communication between partners with dissimilar EBT formats, communications
protocols, or technology platforms.

The EDI VAN uses a "store and forward" mailboxing system to manage all transfer of
information from the sending party to the receiving party's mailbox. This type of process
offers the added benefit of having an independent 3rd party acting as the "always
available exchange point". This allows either party (trading partner) to process its data
without the necessity of the other party's (trading partner) computer system being
coincidentally available.

Charges for VAN services typically include various fixed fees (monthly mailbox fees,
interconnect fees - to connect to other VAN providers, and an initial „set up‟ fee) plus
several variable fees based on data transmitted (per transaction fees, and per character
volume fees).

Internet Point-to-Point
The Internet is a world wide network of computers communicating with the universal
TCP/IP protocol and is used by millions of users. The Internet is considered a public
network with no sole owner or operator. The architecture and protocols associated with
the Internet were specifically designed for network reliability, even though random parts
of the network may be inherently unreliable. Outages to portions of the Internet cause
data packets to be routed dynamically through the Internet to their destinations.

There are three primary transfer protocols used to transfer files over the Internet: File
Transfer Protocol (FTP); Simple Mail Transfer Protocol (SMTP); and Hypertext Transfer
Protocol (HTTP). Unlike the VAN, there are no monthly mailbox, transaction or volume-
based fees for Internet transmission of data. However, using an Internet protocol will
require some incremental investment by market participants to install and maintain the
type of infrastructure necessary to provide internally certain functionality now included
in the price of VAN services.

Internet E-mail


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There are a number of possibilities for using e-mail protocol (Simple Mail Transport
Protocol: SMTP) to transport EBT. S/MIME (Secure/ Multipurpose Internet Mail
Extensions) or Pretty Good Privacy (PGP) can be utilized to provide security-related
features required for electronic commerce transactions: privacy, authentication, integrity,
non-repudiation (P.A.I.N.). The Internet Engineering Task Force‟s (IETF) EDIINT Work
Group has published a standard for utilizing Internet E-mail for EBT. This document is
called “AS1”. AS1 describes how to implement existing IETF standardized protocols to
create a secure Internet e-mail protocol for EBT.

Internet FTP (File Transfer Protocol)
FTP is considered the most efficient Internet protocol for transfer of files. However the
original IETF standards for FTP did not provide for security of user logins. User IDs and
passwords are passed over the network “in the clear” and thus unprotected from a
“sniffer” security threat. In addition, FTP is considered an unsafe service to make
available to users via the Internet. FTP file creation and deletion capabilities could wreck
havoc on an internal network (Intranet) if a hacker were to gain “Admin” level security
through “spoofing” (impersonation). Thus, almost no Corporate Security support
personnel will allow FTP access to internal Intranet FTP services through their Internet
Firewall.

Additional security has to be applied to the original FTP protocol in order to make it
secure and reliable for EBT. One such security protocol is KERBEROS, which allows
for encrypted passwords and user identification as well as a number of other network and
network client/server security features.

FTP has also been implemented with SSL (Secure Sockets Layer)/TLS recently.
Netscape originally developed SSL for Web server and browser security utilizing PKI
(Public Key Infrastructure) encryption and digital signature at the “session” level. A
proposed draft from the IETF (WG) defines this “S/FTP” protocol, and at least one
product has been successfully implemented.

Currently, the IETF EDIINT work group has not worked on a standard for “S/FTP”.

Internet Web (HTTP: Hyper Text Transport Protocol)
        GISB EDM
        The Gas Industry Standards Board (GISB) is a voluntary, independent
        organisation comprised of, and supported by, all segments of the natural gas
        industry. GISB is a non-profit, autonomous organisation with three main goals:

1. Develop and maintain voluntary standards governing electronic communications for
   business transactions within the natural gas industry;
2. Serve as a forum for reaching market-responsive solutions; and
3. Enhance the reliability of gas service through easy access to information standards
   needed for critical business transactions.




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                                Ontario EBT Standards Document


        The GISB business requirements call for tight bidding windows, transaction
        revisions and nomination deadlines. The move toward EBT in this instance
        required the preservation of the interactive nature of the electronic bulletin boards
        already in place while addressing the divergent user interface issues the bulletin
        boards created for shippers nominating to multiple pipelines prior to a daily
        nomination deadline. To meet these needs, GISB adopted a server-to-server
        based model using then available Internet-based tools. Some jurisdictions, such
        as Pennsylvania, are also implementing the use of the GISB Internet based data
        transfer model (EDM: Electronic Delivery Mechanism) for the retail electric
        marketplace. GISB EDM uses PGP 2.6.2 for encryption and digital signature.
        PGP 2.6.2 is not PKI compliant, utilizing a proprietary digital certificate (not the
        PKI X.509v3 standard certificate).

        Potential Convergence of GISB EDM and IETF EDIINT AS2
        The IETF EDIINT AS2 (HTTP) standard is in draft form and under development.
        Initial discussions between IETF, GISB and CommerceNet have begun in order to
        determine the feasibility of seeking a solution within the EDIINT AS2 proposed
        standard to provide inclusion and backward compatibility for the GISB EDM
        standard. Although discussions are under way, no commitments at present exist
        between the groups to change or combine their respective standards into a single
        converged standard. If the developing EDIINT AS2 standard can include the
        GISB EDM standard and handle backwards GISB compatibility, many of the
        concerns raised under both standards will be resolved.

Internet EBT Clearinghouse Hub
Offering the best of the worlds of traditional EDI/EBT VAN and Internet Point-to-Point
is the Internet EBT Clearinghouse Hub. Under this concept, a private identity establishes
a mail boxing clearinghouse hub that offers low cost Internet connectivity coupled with
low cost mail boxing (storage and retrieval) of EBT. The Hub reduces the burden of
Internet connectivity by offering a central repository for EBT with separate secure logins.
Encryption and Digital Signature of EBT documents that are deposited and retrieved
from the EBT Clearinghouse Hub provide the necessary transaction security related
components of “PAIN”: privacy, authentication, integrity, and non-repudiation.

This type of process, just like the traditional EDI VAN, offers the added benefit of having
an independent 3rd party acting as the "always available exchange point". This allows
either party (trading partner) to process its data without the necessity of the other party's
(trading partner) computer system being coincidentally available. This Internet “hub”
concept eliminates the burden of establishing point-to-point connections between trading
partners. For example, without the hub, a Distributor with 20 Retailers (EBT Trading
Partners) would have to establish 20 point-to-point connections with their Trading
Partners multiple times per day in order to “push” their EBT to the appropriate parties.
With the hub, each Trading Partner need only to establish one connection – with the EBT
Clearinghouse Hub – in order to exchange EBT with any and all trading partners.




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                                            Ontario EBT Standards Document


             Data Transport Decision
             The EBT Clearinghouse Hub concept was chosen for the advantages listed above
             including the lower cost per transaction that is possible through implementation of the
             latest hardware and software technologies for EBT.

             Further analysis of EBT transport alternatives narrowed the technology choice further:
             Shortlist of EBT Internet Transport Alternatives with Critical Requirements
                       Weight   GISB EDM   EDI-INT AS2 - HTTP      FTP          FTP       EDI-INT AS1 -     HTTP Put/Get Hub
                                              Post S-MIME       (RFC 959)    (RFC 2228)   SMTP S-MIME         Mail Boxing
                                                                                                                S-MIME
Known                      4                                                                                    
interoperability
among available
software
X.509/ PKI                 4                                                                                     
compliant
Widespread                 3                                                                                    
availability of
implementation
Provides encryption,       5                                                                                   
authentication, non-
repudiation, etc.
(“PAIN”)
Provides MDN or            2                                                                                    
equivalent
Firewall Security &        3                                                                                       
Configuration Ease
Low cost of entry          5                                                                                      
“Hub” solution (NOT        5                                                                                     
point to point)?
Compression?               4                                                                                      
SCORE                              14             11               17           10             18                 35



             The choice from this analysis was HTTP “PUT” and “GET” utilizing The EBT
             Clearinghouse Hub mail boxing of S/MIME PKI compliant encryption.



             GUIDELINES FOR DATA TRANSFER MECHANISM TESTING

             Set forth below are the minimum proposed data transfer mechanism testing guidelines.
             The Subgroup acknowledges that further comprehensive EBT testing guidelines will need
             to be developed by the Testing and Training Subgroup.

             In order to assure that specific implementations of the recommended data transfer
             mechanism are reliable and robust enough to handle peak traffic periods and larger than
             normal file sizes, testing between each pair of trading partners must be conducted prior to
             use in the actual business process of retail access. This testing should also be conducted


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                                    Ontario EBT Standards Document


whenever any trading partners significantly modify their existing data transfer
mechanism infrastructure. The test plans should verify compliance with the critical
success factors, discussed in Section VII of this report, as described below.


Security

   Confirm that file integrity was not compromized (file content received was file
    content sent).
   Verify control totals on received file against sender‟s file control totals.
   Determine that message is only readable by authorized individuals.
   Send and receive encrypted files.
   Confirm that contents are successfully decrypted.
   Non-repudiation. Confirm that:
   An acknowledgement of origin is generated, logged, saved and easily retrieved.
   An acknowledgement of receipt is generated, logged, saved and easily retrieved.
   A mechanism exists to highlight when an acknowledgement of receipt or origin is not
    received.
   A means exists to verify that the sender and/or receiver is whom they profess to be.
   Verification that file sequence integrity has been maintained (i.e. FIFO, first in – first
    out).
   Simultaneous receipt of files from multiple senders (could be multiple transaction
    'sends' from the same sender or different senders).
   Maintenance of processing order via transaction date/time stamps of receipt.

Reliability

   Transmission medium and software work properly with minimum downtime.
   File set is received intact and complete.
   Transmission processing is completed with minimal interruptions.
   Transmission medium is stable.
   Transmission process can be automated, allowing minimal manual intervention.
   Accommodation of the following levels of acknowledgement:
   Means to notify the receiver that the file was sent.
   Means to notify the sender that the sent file was received correctly.
   Means to notify the sender that the file was not received correctly.

Performance
   Transmission medium works consistently under various conditions (i.e. different times of day,
    different volumes of data, critical time periods).
   Capability to send, receive and process representative amounts of data within a time schedule that
    successfully supports the business process.
   Throughput - assure that files are sent and received with the necessary speed to process all transactions
    within the required schedule.
   Capability to send and receive files between multiple participants (one to many; many to one).



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                                    Ontario EBT Standards Document




Recovery and Re-Transmission

   Confirm that a re-transmitted file matches the originally transmitted file, in both
    directions.
   Re-transmit files from each of the past five days.

Archiving and Auditing

   Confirm that a history of transactions, which are sent, delivered, and processed is
    available.

Interoperability

   Verify that trading partners are able to exchange files - both directions
   Transmit a file with the full ASCII character set in it to ensure that the receiving end
    properly interprets all characters - both directions.
   Successfully send/receive files to and from servers with different hardware &
    software configurations.


EBT DOCUMENT FLOW AND PROCESSING CONSIDERATIONS
        1. All Trading Partners utilizing the Ontario EBT Clearinghouse (the Hub) must download and
        install the approved encryption/EBT security software.

        2. Note that a Verisign Class 1 Digital ID with at least a two year expiration date is required.

        3. Choose a public key size of 2048 bits (Military Grade).

        4. When your digital ID is obtained from Verisign, install your certificate into your software.

        5. Download Certificates for the Clearinghouse Hub and all trading partners from Verisign and
        install it.

        6. When encrypting EBT, use 112 bit Triple DES and digitally sign using SHA.
        You must digitally sign and encrypt ALL EBT documents using these settings/parameters.

        7. Example Encrypt command line (if using World Secure Client) :

                 smimer -p testpass -q -w -s EPSDASR.edi –o e:\files\edi\outbound\EDI814.p7m -e SRPEDI
                 where "-p testpass" is the password to the SMIMER private key file,
                 "-q" is quiet mode
                 "-w" delete the source after the operation
                 "-s EPSDASR.edi " is the filename of the EDI file to be digitally
                 signed/encrypted
                 "-o e:\ipnetsuite\ipss\files\edi\outbound\EDI814.p7m" is the output
                 path,
                 "-e SRPEDI" is the ID for the trading partner you are encrypting for,

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                                      Ontario EBT Standards Document



        8. Example Decrypt command line (if using World Secure Client):

                 e:\worldsecureclient\smimer -p testpass -w -q -d 814ediin.p7m –o e:\files\edi\ftpin\814out.edi

        9. When the Hub Trading Partner submits a Hub participant application and it is approved, the
        Trading Partner will be supplied with more information on logging into the Hub web site and EBT
        certification and test instructions.

        10. The process of uploading and downloading files via HTTP can be automated through use of a
        "batch browser" . The use of this software is prohibited until the Hub gives approval. If you wish
        to test this software, please submit a request in writing to the Ontario EBT Clearinghouse Hub
        Trading Partner Services

11. Outbound EBT Documents follow this general processing flow through the sending trading partner,
    hub, and receiving trading party EBT systems:
       a. EBT Sending party‟s Application System or EBT translation software generates appropriate
            XML EBT PIPE document utilizing the XML standard schema.
       b. PIPE document is “picked up” by the EBT Transaction Processing System.
       c. Appropriate transaction file, PIPE and PIP attributes are recorded in the EBT Transaction
            Tracking System.
       d. Digital Signature is placed on EBT document.
       e. Compression is applied with agreed upon compression technology.
       f. Encryption of the compressed, digitally signed document is performed with both the Hub‟s
            Public Key and the receiving Trading Partner‟s Public Key.
       g. Sending Trading Partner utilizes either manual or batch automated browser to deposit the
            encrypted, compressed, digitally signed PIPE XML document into the Clearinghouse Hub‟s
            receiving mailbox.
       h. The Hub software performs the following steps:
                   i. using their private key, decrypts the document;
                  ii. de-compresses the resulting file;
                iii. using the sending trading partner‟s public key, checks the digital signature;
                 iv. performs schema check on the “cleartext” XML document;
                  v. generates transaction tracking data for the hub‟s tracking system;
                 vi. generates Functional Acknowledgement that is automatically digitally signed,
                      compressed, and encrypted for the sending trading partner and then deposited into
                      the sending trading partner‟s inbound mailbox;
                vii. Failure in steps before the FA is generated results in the inbound file being
                      “renamed” with an appropriate error condition, and being moved into the sending
                      trading party‟s inbound mailbox.
       i. The EBT Receiving Trading Partner then utilizes either manual or batch automated browser to
            “pull” (download) the inbound documents from the Hub.
       j. The EBT Receiving Trading Partner then processes the inbound document and produces the
            required responding EBT documents that are uploaded to the appropriate EBT Trading
            Partner via the Hub.


SCHEMA CONSIDERATIONS

The current Hub transactions will be validated using the specifications outlined in the
W3C‟s February 2000 schema draft (www.w3.org). These schemas allow for increased
functionality such as schema nesting, inheritance and extensive data typing. This standard
is evolving and the W3C‟s final schema recommendation is still pending, however the
W3C Working Group does not anticipate further substantial changes to the syntax.

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                                    Ontario EBT Standards Document


Development tools such as XML Spy and XML Authority by Extensibility should soon
provide support to edit/create these schemas. When the final recommendation is issued,
the Hub will want to evaluate the latest standard and the supporting parsers to decide
when/if to migrate to the latest schema version. Below is a listing of parsers currently
available to process schemas.

Parsers which support schemas:
   Xerces-C++

   Xerces-J

   Oracle Parser for Java

   Oracle Schema Processor for Java

Apache Parser Limitations on the Current Release (Xerces 1.0.3)
The schema is specified by the first xmlns attribute on the root element of the document.
There must be an attribute declaration for this xmlns attribute. Elements, types, groups
and attributeGroups share the same namespace. Whole Schema Access and Composition
is not supported which has Schema reference from different schemas.

Oracle Parser Limitations on the Current Release (Schema Processor 0.9)
        http://technet.oracle.com/tech/xml/

You need license to integrate with your application.


Next Release Information
Microsoft and IBM/Apache haven‟t decided their release date. They are all waiting for W3C completion of
schema standard (7 April 2000 – latest). When this is completed, both will release their parsers which will
support the proposed standard.

XML Parsers in the market
   4DOM - FourThought LLC [Jan. 26, 2000]

   4XPath - FourThought LLC [Jan. 25, 2000]

   4XSLT - FourThought LLC [Oct. 21, 1999]

   AElfred - Microstar's Java-Based XML Parser -- Microstar [Aug. 25, 1998]

   expiate - XML Parser Toolkit -- James Clark [Sept. 3, 1998]

   fxp - functional XML parser -- Computer Science Department - University of Trier,
    Germany [June 19, 1999]

   IBM's XML for Java EA2 - IBM [Oct. 17, 1999]


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                              Ontario EBT Standards Document


   Java Project X TR2 - Sun Microsystems [Sept. 27, 1999]

   Microsoft XML Parser Technology Preview Release - Microsoft Corporation
    [Mar. 15, 2000]

   MSXML Technology Preview SDK - Microsoft Corporation [Mar. 15, 2000]

   OpenXML 1.0.5 - openxml.org [Apr. 1, 1999]

   Oracle's XML Parser for Java v2 - Oracle [Oct. 17, 1999]

   Oracle's XML Site - Oracle [May 14, 1999]

   The Apache XML Project - The Apache Foundation [Nov. 10, 1999]

   Using XML in Oracle Database Applications - Brad Wait, Oracle Corporation
    [Nov. 29, 1999]

   Xerces-C++ - The Apache XML Project [Nov. 9, 1999]

   Xerces-J - Apache XML Project [Nov. 10, 1999]

   XJParser - Datachannel, Inc. [June 21, 1999]

   XML Parser - XML Perl Module - Clark Cooper [Sept. 11, 1998]

   xmlparse - Morus Walter [Mar. 24, 2000]

   xmlproc - A Python XML parser - Lars Marius Garshol [Apr. 19, 1999]

   Xparse - Jeremie Miller [Sept. 15, 1998]

   XT - James Clark [Oct. 12, 1999]




Version 2.1                         December 21, 2001                      Page 11.
     Appendix H:
Certification Requirements
             for
Ontario EBT Clearinghouse


 (pending, later issue of document)
     Appendix I:
Certification Requirements
             for
  Hub Trading Partners



(pending, later issue of document)
   Appendix J:
  Sample XML Files
         and
Corresponding Schemas
                        Appendix K:
                      EBT Stds Document
                         Addendum 1
This addendum was originally released on February 21st 2001.
 Appendix L:
EBT Stds Document
  Addendum 2
                 Ontario EBT Standards Document




              Appendix M:
              EBT Stds Document
                Addendum 3




Version 2.1            December 21, 2001          Page   2.

				
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